USPTO Patents Application 09870801

*

SYSTEMS AND METHODS FOR SECURE TRANSACTION
MANAGEMENT AND ELECTRONIC RIGHTS PROTECTION

This invention generally relates to computer and/or
electronic security.

More particularly, this invention relates to systems and
techniques for secure transaction management. This invention
also relates to computer-based and other electronic appliance-
based technologies that help to ensure that information is accessed
and/or otherwise used only in authorized ways, and maintains the
integrity, availability, and/or confidentiality of such information
and processes related to such use.

The invention also relates to systems and methods for
protecting rights of various participants in electronic commerce
and other electronic or electronically-facilitated transactions.

The invention also relates to secure chains of handling and
control for both information content and information employed to
regulate the use of such content and consequences of such use. It
also relates to systems and techniques that manage, including
meter and/or limit and/or otherwise monitor use of electronically
stored and/or disseminated information. The invention
particularly relates to transactions, conduct and arrangements
that make use of, including consequences of use of, such systems
and/or techniques.

Field(e) of the Invention^)

- 1-

(0061603.01)

* •

The invention also relates to distributed and other operating
systems, environments and architectures. It also generally relates
to secure architectures, including, for example, tamper-resistant
hardware-based processors, that can be used to establish security
at each node of a distributed system.

Background and Summary of the Inventions)

Telecommunications, financial transactions, government
processes, business operations, entertainment, and personal
business productivity all now depend on electronic appliances.
Millions of these electronic appliances have been electronically
connected together. These interconnected electronic appliances
comprise what is increasingly called the -information highway."
Many businesses, academicians, and government leaders are
concerned about how to protect the rights of citizens and
organizations who use this information (also "electronic" or
"digital") highway.

Electronic Content

Today, virtually anything that can be represented by words,
numbers, graphics, or system of commands and instructions can be
formatted into electronic digital information. Television, cable,
satellite transmissions, and on-line services transmitted over
telephone lines, compete to distribute digital information and
entertainment to homes and businesses. The owners and
marketers of this content include software developers, motion
picture and recording companies, publishers of books, magazines,
and newspapers, and information database providers. The
popularization of on-line services has also enabled the individual
personal computer user to participate as a content provider. It is

-2-

(0061603.01)

estimated that the worldwide market for electronic information in
1992 was approximately $40 billion and is expected to grow to
$200 billion by 1997, according to Microsoft Corporation. The
present invention can materially enhance the revenue of content
5 providers, lower the distribution costs and the costs for content,

better support advertising and usage information gathering, and
better satisfy the needs of electronic information users. These
improvements can lead to a significant increase in the amount and
variety of electronic information and the methods by which such
10 information is distributed.

The inability of conventional products to be shaped to the
needs of electronic information providers and users is sharply in
contrast to the present invention. Despite the attention devoted

15 by a cross-section of America's largest telecommunications,

computer, entertainment and information provider companies to
some of the problems addressed by the present invention, only the
present invention provides commercially secure, effective solutions
for configurable, general purpose electronic commerce

20 transaction/distribution control systems.

Controlling Electronic Content

The present invention provides a new kind of w virtual
distribution environments (called *VDE" in this document) that

25 secures, administers, and audits electronic information use. VDE

also features fundamentally important capabilities for managing
content that travels "across" the "information highway These
capabilities comprise a rights protection solution that serves all
electronic community members. These members include content

30 creators and distributors, financial service providers, end-users,

-3-

(0061603.01)

and others. VDE is the first general purpose, configurable,
transaction control/rights protection solution for users of
computers, other electronic appliances, networks, and the
information highway.

A fundamental problem for electronic content providers is
extending their ability to control the use of proprietary
information. Content providers often need to limit use to
authorized activities and amounts. Participants in a business
model involving, for example, provision of movies and advertising
on optical discs may include actors, directors, script and other
writers, musicians, studios, publishers, distributors, retailers,
advertisers/credit card services, and content end-users. These
participants need the ability to embody their range of agreements
and requirements, including use limitations, into an "extended"
agreement comprising an overall electronic business model. This
extended agreement is represented by electronic content control
information that can automatically enforce agreed upon rights and
obligations. Under VDE, such an extended agreement may
comprise an electronic contract involving all business model
participants. Such an agreement may alternatively, or in addition,
be made up of electronic agreements between subsets of the
business model participants. Through the use of VDE, electronic
commerce can function in the same way as traditional
commerce— that is commercial relationships regarding products
and services can be shaped through the negotiation of one or more
agreements between a variety of parties.

Commercial content providers are concerned with ensuring
proper compensation for the use of their electronic information.

(0061603.01)

Electronic digital information, for example a CD recording, can
today be copied relatively easily and inexpensively. Similarly,
unauthorized copying and use of software programs deprives
rightful owners of billions of dollars in annual revenue according
5 to the International Intellectual Property Alliance. Content

providers and distributors have devised a number of limited
function rights protection mechanisms to protect their rights.
Authorization passwords and protocols, license servers,
"lock/unlock" distribution methods, and non-electronic contractual
10 limitations imposed on users of shrink-wrapped software are a few

of the more prevalent content protection schemes. In a commercial
context, these efforts are inefficient and limited solutions.

Providers of "electronic currency" have also created
15 protections for their type of content. These systems are not

sufficiently adaptable, efficient, nor flexible enough to support the
generalized use of electronic currency. Furthermore, they do not
provide sophisticated auditing and control configuration
capabilities. This means that current electronic currency tools
20 lack the sophistication needed for many real-world financial

business models. VDE provides means for anonymous currency
and for "conditionally" anonymous currency, wherein currency
related activities remain anonymous except under special
circumstances.

25

VDE Control Capabilities

VDE allows the owners and distributors of electronic digital
information to reliably bill for, and securely control, audit, and
30 budget the use of, electronic information. It can reliably detect

-5-

(0061603.01)

and monitor the use of commercial information products. VDE
uses a wide variety of different electronic information delivery
means: including, for example, digital networks, digital broadcast,
and physical storage media such as optical and magnetic disks.
5 VDE can be used by major network providers, hardware

manufacturers, owners of electronic information, providers of such
information, and clearinghouses that gather usage information
regarding, and bill for the use of, electronic information.

10 VDE provides comprehensive and configurable transaction

management, metering and monitoring technology. It can change
how electronic information products are protected, marketed,
packaged, and distributed. When used, VDE should result in
higher revenues for information providers and greater user

15 satisfaction and value. Use of VDE will normally result in lower

usage costs, decreased transaction costs, more efficient access to
electronic information, re-usability of rights protection and other
transaction management implementations, greatly improved
flexibility in the use of secured information, and greater

20 standardization of tools and processes for electronic transaction

management. VDE can be used to create an adaptable
environment that fulfills the needs of electronic information
owners, distributors, and users; financial clearinghouses; and
usage information analyzers and resellers.

25

Rights and Control Information

In general, the present invention can be used to protect the
rights of parties who have:

-6-

(0061603.01)

(a) proprietary or confidentiality interests in electronic
information. It can, for example, help ensure that
information is used only in authorized ways;

5 (b) financial interests resulting from the use of

electronically distributed information. It can help
ensure that content providers will be paid for use of
distributed information; and

10 (c) interests in electronic credit and electronic currency

storage, communication, and/or use including
electronic cash, banking, and purchasing.

Protecting the rights of electronic community members
15 involves a broad range of technologies. VDE combines these

technologies in a way that creates a "distributed" electronic rights
protection "environment." This environment secures and protects
transactions and other processes important for rights protection.
VDE, for example, provides the ability to prevent, or impede,
20 interference with and/or observation of, important rights related

transactions and processes. VDE, in its preferred embodiment,
uses special purpose tamper resistant Secure Processing Units
(SPUs) to help provide a high level of security for VDE processes
and information storage and communication.

25

The rights protection problems solved by the present
invention are electronic versions of basic societal issues. These
issues include protecting property rights, protecting privacy rights,
properly compensating people and organizations for their work and
30 risk, protecting money and credit, and generally protecting the

-7-

(0061603.01)

security of information. VDE employs a system that uses a
common set of processes to manage rights issues in an efficient,
trusted, and cost-effective way.

5 VDE can be used to protect the rights of parties who create

electronic content such as, for example: records, games, movies,
newspapers, electronic books and reference materials, personal
electronic mail, and confidential records and communications. The
invention can also be used to protect the rights of parties who

10 provide electronic products, such as publishers and distributors;

the rights of parties who provide electronic credit and currency to
pay for use of products, for example, credit clearinghouses and
banks; the rights to privacy of parties who use electronic content
(such as consumers, business people, governments); and the

15 privacy rights of parties described by electronic information, such

as privacy rights related to information contained in a medical
record, tax record, or personnel record.

In general, the present invention can protect the rights of

20 parties who have:

(a) commercial interests in electronically distributed
information - the present invention can help ensure,
for example, that parties, will be paid for use of
distributed information in a manner consistent with

25 their agreement;

(b) proprietary and/or confidentiality interests in
electronic information - the present invention can, for
example, help ensure that data is used only in

30 authorized ways;

-8-

(0061603.01)

(c) interests in electronic credit and electronic currency
storage, communication, and/or use -- this can include
electronic cash, banking, and purchasing; and

(d) interests in electronic information derived, at least in
part, from use of other electronic information.

VDE Functional Properties

VDE is a cost-effective and efficient rights protection
solution that provides a unified, consistent system for securing and
managing transaction processing. VDE can:

(a) audit and analyze the use of content,

(b) ensure that content is used only in authorized ways,
and

(c) allow information regarding content usage to be used
only in ways approved by content users.

In addition, VDE:

(a) is very configurable, modifiable, and re-usable;

(b) supports a wide range of useful capabilities that may
be combined in different ways to accommodate most
potential applications;

(0061603.01)

(c) operates on a wide variety of electronic appliances
ranging from hand-held inexpensive devices to large
mainframe computers;

(d) is able to ensure the various rights of a number of
different parties, and a number of different rights
protection schemes, simultaneously;

(e) is able to preserve the rights of parties through a
series of transactions that may occur at different times
and different locations;

(f) is able to flexibly accommodate different ways of
securely delivering information and reporting usage;
and

(g) provides for electronic analogues to "real" money and
credit, including anonymous electronic cash, to pay for
products and services and to support personal
(including home) banking and other financial
activities.

VDE economically and efficiently fulfills the rights
protection needs of electronic community members. Users of VDE
will not require additional rights protection systems for different
information highway products and rights problems-nor will they
be required to install and learn a new system for each new
information highway application.

-10-

(0061603.01)

VDE provides a unified solution that allows all content
creators, providers, and users to employ the same electronic rights
protection solution. Under authorized circumstances, the
participants can freely exchange content and associated content
control sets. This means that a user of VDE may, if allowed, use
the same electronic system to work with different kinds of content
having different sets of content control information. The content
and control information supplied by one group can be used by
people who normally use content and control information supplied
by a different group. VDE can allow content to be exchanged
"universally* and users of an implementation of the present
invention can interact electronically without fear of
incompatibilities in content control, violation of rights, or the need
to get, install, or learn a new content control system.

The VDE securely administers transactions that specify
protection of rights. It can protect electronic rights including, for
example:

(a) the property rights of authors of electronic content,

(b) the commercial rights of distributors of content,

(c) the rights of any parties who facilitated the
distribution of content,

(d) the privacy rights of users of content,

(e) the privacy rights of parties portrayed by stored
and/or distributed content, and

• 11 -

(0061603.01)

(f) any other rights regarding enforcement of electronic
agreements.

VDE can enable a very broad variety of electronically enforced
commercial and societal agreements. These agreements can
include electronically implemented contracts, licenses, laws,
regulations, and tax collection.

Contrast With Traditional Solutions

Traditional content control mechanisms often require users
to purchase more electronic information than the user needs or
desires. For example, infrequent users of shrink-wrapped software
are required to purchase a program at the same price as frequent
users, even though they may receive much less value from their
less frequent use. Traditional systems do not scale cost according
to the extent or character of usage and traditional systems can not
attract potential customers who find that a fixed price is too high.
Systems using traditional mechanisms are also not normally
particularly secure. For example, shrink-wrapping does not
prevent the constant illegal pirating of software once removed
from either its physical or electronic package.

Traditional electronic information rights protection systems
are often inflexible and inefficient and may cause a content
provider to choose costly distribution channels that increase a
product's price. In general these mechanisms restrict product
pricing, configuration, and marketing flexibility. These
compromises are the result of techniques for controlling
information which cannot accommodate both different content
models and content models which reflect the many, varied

- 12-

(0061603.01)

requirements, such as content delivery strategies, of the model
participants. This can limit a provider's ability to deliver
sufficient overall value to justify a given product's cost in the eyes
of many potential users. VDE allows content providers and
5 distributors to create applications and distribution networks that

reflect content providers* and users' preferred business models. It
offers users a uniquely cost effective and feature rich system that
supports the ways providers want to distribute information and
the ways users want to use such information. VDE supports
10 content control models that ensure rights and allow content

delivery strategies to be shaped for maximum commercial results.

Chain of Handling and Control

VDE can protect a collection of rights belonging to various
15 parties having in rights in, or to; electronic information. This

information may be at one location or dispersed across (and/or
moving between) multiple locations. The information may pass
through a "chain" of distributors and a "chain* of users. Usage
information may also be reported through one or more "chains" of
20 parties. In general, VDE enables parties that (a) have rights in

electronic information, and/or (b) act as direct or indirect agents
for parties who have rights in electronic information, to ensure
that the moving, accessing, modifying, or otherwise using of
information can be securely controlled by rules regarding how,
25 when, where, and by whom such activities can be performed.

VDE Applications and Software

VDE is a secure system for regulating electronic conduct and
commerce. Regulation is ensured by control information put in
30 place by one or more parties. These parties may include content

•13-

(0061603.01)

10

providers, electronic hardware manufacturers, financial service
providers, or electronic "infrastructure" companies such as cable or
telecommunications companies. The control information
implements "Rights Applications." Rights applications "run on"
the "base software* of the preferred embodiment. This base
software serves as a secure, flexible, general purpose foundation
that can accommodate many different rights applications, that is,
many different business models and their respective participant
requirements.

A rights application under VDE is made up of special
purpose pieces, each of which can correspond to one or more basic
electronic processes needed for a rights protection environment.
These processes can be combined together like building blocks to

15 create electronic agreements that can protect the rights, and may

enforce fulfillment of the obligations, of electronic information
users and providers. One or more providers of electronic
information can easily combine selected building blocks to create a
rights application that is unique to a specific content distribution

20 model. A group of these pieces can represent the capabilities

needed to fulfill the agreement(s) between users and providers.
These pieces accommodate many requirements of electronic
commerce including:

25 • the distribution of permissions to use electronic

information;

• the persistence of the control information and sets of
control information managing these permissions;

30

. 14 .

(0061603.01)

• configurable control set information that can be
selected by users for use with such information;

• data security and usage auditing of electronic
5 information; and

• a secure system for currency, compensation and debit
management.

10 For electronic commerce, a rights application, under the

preferred embodiment of the present invention, can provide
electronic enforcement of the business agreements between all
participants. Since different groups of components can be put
together for different applications, the present invention can

15 provide electronic control information for a wide variety of

different products and markets. This means the present invention
can provide a "unified," efficient, secure, and cost-effective system
for electronic commerce and data security. This allows VDE to
serve as a single standard for electronic rights protection, data

20 security, and electronic currency and banking.

In a VDE, the separation between a rights application and
its foundation permits the efficient selection of sets of control
information that are appropriate for each of many different types

25 of applications and uses. These control sets can reflect both rights

of electronic community members, as well as obligations (such as
providing a history of one's use of a product or paying taxes on
one's electronic purchases). VDE flexibility allows its users to
electronically implement and enforce common social and

30 commercial ethics and practices. By providing a unified control

- 15-

(0061603.01)

system, the present invention supports a vast range of possible
transaction related interests and concerns of individuals,
communities, businesses, and governments. Due to its open
design, VDE allows (normally under securely controlled
circumstances) applications using technology independently
created by users to be "added" to the system and used in
conjunction with the foundation of the invention. In sum, VDE
provides a system that can fairly reflect and enforce agreements
among parties. It is a broad ranging and systematic solution that
answers the pressing need for a secure, cost-effective, and fair
electronic environment.

VDE Implementation

The preferred embodiment of the present invention includes
various tools that enable system designers to directly insert VDE
capabilities into their products. These tools include an Application
Programmer's Interface ("API") and a Rights Permissioning and
Management Language ("RPML"). The RPML provides
comprehensive and detailed control over the use of the invention's
features. VDE also includes certain user interface subsystems for
satisfying the needs of content providers, distributors, and users.

Information distributed using VDE may take many forms.
It may, for example, be "distributed" for use on an individual's own
computer, that is the present invention can be used to provide
security for locally stored data. Alternatively, VDE may be used
with information that is dispersed by authors and/or publishers to
one or more recipients. This information may take many forms
including: movies, audio recordings, games, electronic catalog
shopping, multimedia, training materials, E-mail and personal

-16-

(0061603.01)

documents, object oriented libraries, software programming
resources, and reference/record keeping information resources
(such as business, medical, legal, scientific, governmental, and
consumer databases).

5

Electronic rights protection provided by the present
invention will also provide an important foundation for trusted
and efficient home and commercial banking, electronic credit
processes, electronic purchasing, true or conditionally anonymous
10 electronic cash, and EDI (Electronic Data Interchange). VDE

provides important enhancements for improving data security in
organizations by providing "smart" transaction management
features that can be far more effective than key and password
based "go/ho go" technology.

15

VDE normally employs an integration of cryptographic and
other security technologies (e.g. encryption, digital signatures,
etc.), with other technologies including: component, distributed,
and event driven operating system technology, and related
20 communications, object container, database, smart agent, smart

card, and semiconductor design technologies.

I. Overview

A. VDE Solves Important Problems and Fills
25 Critical Needs

The world is moving towards an integration of electronic

information appliances. This interconnection of appliances

provides a foundation for much greater electronic interaction and

the evolution of electronic commerce. A variety of capabilities are

30 required to implement an electronic commerce environment. VDE

is the first system that provides many of these capabilities and

- 17 -

(0061603.01)

therefore solves fundamental problems related to electronic
dissemination of information.

Electronic Content

VDE allows electronic arrangements to be created involving
two or more parties. These agreements can themselves comprise a
collection of agreements between participants in a commercial
value chain and/or a data security chain model for handling,
auditing, reporting, and payment. It can provide efficient,
reusable, modifiable, and consistent means for secure electronic
content: distribution, usage control, usage payment, usage
auditing, and usage reporting. Content may, for example, include:

financial information such as electronic currency and
credit;

commercially distributed electronic information such
as reference databases, movies, games, and
advertising; and

electronic properties produced by persons and
organizations, such as documents, e-mail, and
proprietary database information.

VDE enables an electronic commerce marketplace that supports
differing, competitive business partnerships, agreements, and
evolving overall business models.

The features of VDE allow it to function as the first trusted
electronic information control environment that can conform to,

- 18-

(0061603.01)

and support, the bulk of conventional electronic commerce and
data security requirements. In particular, VDE enables the
participants in a business value chain model to create an
electronic version of traditional business agreement terms and
conditions and further enables these participants to shape and
evolve their electronic commerce models as they believe
appropriate to their business requirements.

VDE offers an architecture that avoids reflecting specific
distribution biases, administrative and control perspectives, and
content types. Instead, VDE provides a broad-spectrum,
fundamentally configurable and portable, electronic transaction
control, distributing, usage, auditing, reporting, and payment
operating environment. VDE is not limited to being an application
or application specific toolset that covers only a limited subset of
electronic interaction activities and participants. Rather, VDE
supports systems by which such applications can be created,
modified, and/or reused. As a result, the present invention
answers pressing, unsolved needs by offering a system that
supports a standardized control environment which facilitates
interoperability of electronic appliances, interoperability of
content containers, and efficient creation of electronic commerce
applications and models through the use of a programmable,
secure electronic transactions management foundation and
reusable and extensible executable components. VDE can support
a single electronic "world" within which most forms of electronic
transaction activities can be managed.

To answer the developing needs of rights owners and
content providers and to provide a system that can accommodate

-19-

(0061603.01)

the requirements and agreements of all parties that may be
involved in electronic business models (creators, distributors,
administrators, users, credit providers, etc.), VDE supplies an
efficient, largely transparent, low cost and sufficiently secure
system (supporting both hardware/ software and software only
models). VDE provides the widely varying secure control and
administration capabilities required for:

1. Different types of electronic content,

2. Differing electronic content delivery schemes,

3. Differing electronic content usage schemes,

4. Different content usage platforms, and

5. Differing content marketing and model strategies.

VDE may be combined with, or integrated into, many
separate computers and/or other electronic appliances. These
appliances typically include a secure subsystem that can enable
control of content use such as displaying, encrypting, decrypting,
printing, copying, saving, extracting, embedding, distributing,
auditing usage, etc. The secure subsystem in the preferred
embodiment comprises one or more "protected processing
environments", one or more secure databases, and secure
"component assemblies" and other items and processes that need
to be kept secured. VDE can, for example, securely control
electronic currency, payments, and/or credit management

-20-

(0061603.01)

(including electronic credit and/or currency receipt, disbursement,
encumbering, and/or allocation) using such a "secure subsystem/'

VDE provides a secure, distributed electronic transaction
management system for controlling the distribution and/or other
usage of electronically provided and/or stored information. VDE
controls auditing and reporting of electronic content and/or
appliance usage. Users of VDE may include content creators who
apply content usage, usage reporting, and/or usage payment
related control information to electronic content and/or appliances
for users such as end-user organizations, individuals, and content
and/or appliance distributors. VDE also securely supports the
payment of money owed (including money owed for content and/or
appliance usage) by one or more parties to one or more other
parties, in the form of electronic credit and/or currency.

Electronic appliances under control of VDE represent VDE
'nodes* that securely process and control; distributed electronic
information and/or appliance usage, control information
formulation, and related transactions. VDE can securely manage
the integration of control information provided by two or more
parties. As a result, VDE can construct an electronic agreement
between VDE participants that represent a "negotiation" between,
the control requirements of, two or more parties and enacts terms
and conditions of a resulting agreement. VDE ensures the rights
of each party to an electronic agreement regarding a wide range of
electronic activities related to electronic information and/or
appliance usage.

-21 -

(0061603.01)

Through use of VDE's control system, traditional content
providers and users can create electronic relationships that reflect
traditional, non-electronic relationships. They can shape and
modify commercial relationships to accommodate the evolving
needs of, and agreements among, themselves. VDE does not
require electronic content providers and users to modify their
business practices and personal preferences to conform to a
metering and control application program that supports limited,
largely fixed functionality. Furthermore, VDE permits
participants to develop business models not feasible with non-
electronic commerce, for example, involving detailed reporting of
content usage information, large numbers of distinct transactions
at hitherto infeasibly low price points, "pass-along" control
information that is enforced without involvement or advance
knowledge of the participants, etc.

The present invention allows content providers and users to
formulate their transaction environment to accommodate:

(1) desired content models, content control models, and
content usage information pathways,

(2) a complete range of electronic media and distribution
means,

(3) a broad range of pricing, payment, and auditing
strategies,

(4) very flexible privacy and/or reporting models,

-22-

(0061603.01)

(5) practical and effective security architectures, and

(6) other administrative procedures that together with
steps (1) through (5) can enable most a real world"

5 electronic commerce and data security models,

including models unique to the electronic world.

VDE's transaction management capabilities can enforce:

10 (1) privacy rights of users related to information

regarding their usage of electronic information and/or
appliances,

(2) societal policy such as laws that protect rights of

15 content users or require the collection of taxes derived

from electronic transaction revenue, and

(3) the proprietary and/or other rights of parties related
to ownership of, distribution of, and/or other

20 commercial rights related to, electronic information.

VDE can support "real" commerce in an electronic form, that
is the progressive creation of commercial relationships that form,
over time, a network of interrelated agreements representing a

25 value chain business model. This is achieved in part by enabling

content control information to develop through the interaction of
(negotiation between) securely created and independently
submitted sets of content and/or appliance control information.
Different sets of content and/or appliance control information can

30 be submitted by different parties in an electronic business value

-23-

(0061603.01)

chain enabled by the present invention. These parties create
control information sets through the use of their respective VDE
installations. Independently, securely deliverable, component
based control information allows efficient interaction among
control information sets supplied by different parties.

VDE permits multiple, separate electronic arrangements to
be formed between subsets of parties in a VDE supported
electronic value chain model. These multiple agreements together
comprise a VDE value chain "extended" agreement. VDE allows
such constituent electronic agreements, and therefore overall VDE
extended agreements, to evolve and reshape over time as
additional VDE participants become involved in VDE content
and/or appliance control information handling. VDE electronic
agreements may also be extended as new control information is
submitted by existing participants. With VDE, electronic
commerce participants are free to structure and restructure their
electronic commerce business activities and relationships. As a
result, the present invention allows a competitive electronic
commerce marketplace to develop since the use of VDE enables
different, widely varying business models using the same or
shared content.

A significant facet of the present invention's ability to
broadly support electronic commerce is its ability to securely
manage independently delivered VDE component objects
containing control information (normally in the form of VDE
objects containing one or more methods, data, or load module VDE
components). This independently delivered control information
can be integrated with senior and other pre-existing content

-24-

(0061603.01)

control information to securely form derived control information
using the negotiation mechanisms of the present invention. All
requirements specified by this derived control information must be
satisfied before VDE controlled content can be accessed or
5 otherwise used. This means that, for example, all load modules

and any mediating data which are listed by the derived control
information as required must be available and securely perform
their required function. In combination with other aspects of the
present invention, securely, independently delivered control

10 components allow electronic commerce participants to freely

stipulate their business requirements and trade offs. As a result,
much as with traditional, non-electronic commerce, the present
invention allows electronic commerce (through a progressive
stipulation of various control requirements by VDE participants) to

15 evolve into forms of business that are the most efficient,

competitive and useful.

VDE provides capabilities that rationalize the support of
electronic commerce and electronic transaction management. This

20 rationalization stems from the reusability of control structures and

user interfaces for a wide variety of transaction management
related activities. As a result, content usage control, data security,
information auditing, and electronic financial activities, can be
supported with tools that are reusable, convenient, consistent, and

25 familiar. In addition, a rational approach — a

transaction/distribution control standard — allows all participants
in VDE the same foundation set of hardware control and security,
authoring, administration, and management tools to support
widely varying types of information, business market model,

30 and/or personal objectives.

-25-

(OO61603 01)

Employing VDE as a general purpose electronic
transaction/distribution control system allows users to maintain a
single transaction management control arrangement on each of
their computers, networks, communication nodes, and/or other
electronic appliances. Such a general purpose system can serve
the needs of many electronic transaction management applications
without requiring distinct, different installations for different
purposes. As a result, users of VDE can avoid the confusion and
expense and other inefficiencies of different, limited purpose
transaction control applications for each different content and/or
business model. For example, VDE allows content creators to use
the same VDE foundation control arrangement for both content
authoring and for licensing content from other content creators for
inclusion into their products or for other use. Clearinghouses,
distributors, content creators, and other VDE users can all
interact, both with the applications running on their VDE
installations, and with each other, in an entirely consistent
manner, using and reusing (largely transparently) the same
distributed tools, mechanisms, and consistent user interfaces,
regardless of the type of VDE activity.

VDE prevents many forms of unauthorized use of electronic
information, by controlling and auditing (and other administration
of use) electronically stored and/or disseminated information. This
includes, for example, commercially distributed content, electronic
currency, electronic credit, business transactions (such as EDI),
confidential communications, and the like. VDE can further be
used to enable commercially provided electronic content to be
made available to users in user defined portions, rather than
constraining the user to use portions of content that were

-26-

(0061603.01)

5

"predetermined" by a content creator and/or other provider for
billing purposes.

VDE, for example, can employ:

(1) Secure metering means for budgeting and/or auditing
electronic content and/or appliance usage;

(2) Secure flexible means for enabling compensation

10 and/or billing rates for content and/or appliance usage,

including electronic credit and/or currency
mechanisms for payment means;

(3) Secure distributed database means for storing control
15 and usage related information (and employing

validated compartmentalization and tagging schemes);

(4) Secure electronic appliance control means;

20 (5) A distributed, secure, "virtual black box" comprised of

nodes located at every user (including VDE content
container creators, other content providers, client
users, and recipients of secure VDE content usage
information) site. The nodes of said virtual black box

25 normally include a secure subsystem having at least

one secure hardware element (a semiconductor
element or other hardware module for securely
executing VDE control processes), said secure
subsystems being distributed at nodes along a

30 pathway of information storage, distribution, payment,

-27-

(0061603.01)

usage, and/or auditing. In some embodiments, the
functions of said hardware element, for certain or all
nodes, may be performed by software, for example, in
host processing environments of electronic appliances;

(6) Encryption and decryption means;

(7) Secure communications means employing
authentication, digital signaturing, and encrypted
transmissions. The secure subsystems at said user
nodes utilize a protocol that establishes and
authenticates each node's and/or participant's identity,
and establishes one or more secure host-to-host
encryption keys for communications between the
secure subsystems; and

(8) Secure control means that can allow each VDE
installation to perform VDE content authoring
(placing content into VDE containers with associated
control information), content distribution, and content
usage; as well as clearinghouse and other
administrative and analysis activities employing
content usage information.

VDE may be used to migrate most non-electronic, traditional
information delivery models (including entertainment, reference
materials, catalog shopping, etc.) into an adequately secure digital
distribution and usage management and payment context. The
distribution and financial pathways managed by a VDE
arrangement may include:

-28-

(0061603.01)

10

content creators),
distributors),
redistributor(s),
client administrators),
client user(s),

financial and/or other clearinghouse^ ),
and/or government agencies.

These distribution and financial pathways may also include:

• advertisers,

• market survey organizations, and/or

• other parties interested in the user usage of
information securely delivered and/or stored using

15 VDE.

Normally, participants in a VDE arrangement will employ the
same secure VDE foundation. Alternate embodiments support
VDE arrangements employing differing VDE foundations. Such
20 alternate embodiments may employ procedures to ensure certain

interoperability requirements are met.

Secure VDE hardware (also known as SPUs for Secure
Processing Units), or VDE installations that use software to

25 substitute for, or complement, said hardware (provided by Host

Processing Environments (HPEs)), operate in conjunction with
secure communications, systems integration software, and
distributed software control information and support structures, to
achieve the electronic contract/rights protection environment of the

30 present invention. Together, these VDE components comprise a

-29-

(0061603.01)

secure, virtual, distributed content and/or appliance control,
auditing (and other administration), reporting, and payment
environment. In some embodiments and where commercially
acceptable, certain VDE participants, such as clearinghouses that
normally maintain sufficiently physically secure non-VDE
processing environments, may be allowed to employ HPEs rather
VDE hardware elements and interoperate, for example, with VDE
end-users and content providers. VDE components together
comprise a configurable, consistent, secure and "trusted"
architecture for distributed, asynchronous control of electronic
content and/or appliance usage. VDE supports a -universe wide"
environment for electronic content delivery, broad dissemination,
usage reporting, and usage related payment activities.

VDE provides generalized configurability. This results, in
part, from decomposition of generalized requirements for
supporting electronic commerce and data security into a broad
range of constituent "atomic" and higher level components (such as
load modules, data elements, and methods) that may be variously
aggregated together to form control methods for electronic
commerce applications, commercial electronic agreements, and
data security arrangements. VDE provides a secure operating
environment employing VDE foundation elements along with
secure independently deliverable VDE components that enable
electronic commerce models and relationships to develop. VDE
specifically supports the unfolding of distribution models in which
content providers, over time, can expressly agree to, or allow,
subsequent content providers and/or users to participate in
shaping the control information for, and consequences of, use of
electronic content and/or appliances. A very broad range of the

-30-

(0061603.01)

functional attributes important for supporting simple to very
complex electronic commerce and data security activities are
supported by capabilities of the present invention. As a result,
VDE supports most types of electronic information and/or
appliance: usage control (including distribution), security, usage
auditing, reporting, other administration, and payment
arrangements.

VDE, in its preferred embodiment, employs object software
technology and uses object technology to form "containers" for
delivery of information that is (at least in part) encrypted or
otherwise secured. These containers may contain electronic
content products or other electronic information and some or all of
their associated permissions (control) information. These
container objects may be distributed along pathways involving
content providers and/or content users. They may be securely
moved among nodes of a Virtual Distribution Environment (VDE)
arrangement, which nodes operate VDE foundation software and
execute control methods to enact electronic information usage
control and/or administration models. The containers delivered
through use of the preferred embodiment of the present invention
may be employed both for distributing VDE control instructions
(information) and/or to encapsulate and electronically distribute
content that has been at least partially secured.

Content providers who employ the present invention may
include, for example, software application and game publishers,
database publishers, cable, television, and radio broadcasters,
electronic shopping vendors, and distributors of information in
electronic document, book, periodical, e-mail and/or other forms.

-31-

(0061603.01)

Corporations, government agencies, and/or individual "end-users"
who act as storers of, and/or distributors of, electronic information,
may also be VDE content providers (in a restricted model, a user
provides content only to himself and employs VDE to secure his
own confidential information against unauthorized use by other
parties). Electronic information may include proprietary and/or
confidential information for personal or internal organization use,
as well as information, such as software applications, documents,
entertainment materials, and/or reference information, which may
be provided to other parties. Distribution may be by, for example,
physical media delivery, broadcast and/or telecommunication
means, and in the form of "static" files and/or streams of data.
VDE may also be used, for example, for multi-site "real-time"
interaction such as teleconferencing, interactive games, or on-line
bulletin boards, where restrictions on, and/or auditing of, the use
of all or portions of communicated information is enforced.

VDE provides important mechanisms for both enforcing
commercial agreements and enabling the protection of privacy
rights. VDE can securely deliver information from one party to
another concerning the use of commercially distributed electronic
content. Even if parties are separated by several "steps" in a
chain (pathway) of handling for such content usage information,
such information is protected by VDE through encryption and/or
other secure processing. Because of that protection, the accuracy
of such information is guaranteed by VDE, and the information
can be trusted by all parties to whom it is delivered. Furthermore,
VDE guarantees that all parties can trust that such information
cannot be received by anyone other than the intended, authorized,
party(ies) because it is encrypted such that only an authorized

-32-

(0061603.01)

party, or her agents, can decrypt it. Such information may also be
derived through a secure VDE process at a previous pathway-of-
handling location to produce secure VDE reporting information
that is then communicated securely to its intended recipient's VDE
secure subsystem. Because VDE can deliver such information
securely, parties to an electronic agreement need not trust the
accuracy of commercial usage and/or other information delivered
through means other than those under control of VDE.

VDE participants in a commercial value chain can be
•commercially" confident (that is, sufficiently confident for
commercial purposes) that the direct (constituent) and/or
"extended" electronic agreements they entered into through the
use of VDE can be enforced reliably. These agreements may have
both "dynamic" transaction management related aspects, such as
content usage control information enforced through budgeting,
metering, and/or reporting of electronic information and/or
appliance use, and/or they may include "static" electronic
assertions, such as an end-user using the system to assert bis or
her agreement to pay for services, not to pass to unauthorized
parties electronic information derived from usage of content or
systems, and/or agreeing to observe copyright laws. Not only can
electronically reported transaction related information be trusted
under the present invention, but payment may be automated by
the passing of payment tokens through a pathway of payment
(which may or may not be the same as a pathway for reporting).
Such payment can be contained within a VDE container created
automatically by a VDE installation in response to control
information (located, in the preferred embodiment, in one or more
permissions records) stipulating the "withdrawal" of credit or

-33-

(0061603.01)

electronic currency (such as tokens) from an electronic account (for
example, an account securely maintained by a user's VDE
installation secure subsystem) based upon usage of VDE controlled
electronic content and/or appliances (such as governments,
financial credit providers, and users).

VDE allows the needs of electronic commerce participants to
be served and it can bind such participants together in a universe
wide, trusted commercial network that can be secure enough to
support very large amounts of commerce. VDE's security and
metering secure subsystem core will be present at all physical
locations where VDE related content is (a) assigned usage related
control information (rules and mediating data), and/or (b) used.
This core can perform security and auditing functions (including
metering) that operate within a "virtual black box," a collection of
distributed, very secure VDE related hardware instances that are
interconnected by secured information exchange (for example,
telecommunication) processes and distributed database means.
VDE further includes highly configurable transaction operating
system technology, one or more associated libraries of load
modules along with affiliated data, VDE related administration,
data preparation, and analysis applications, as well as system
software designed to enable VDE integration into host
environments and applications. VDE's usage control information,
for example, provide for property content and/or appliance related:
usage authorization, usage auditing (which may include audit
reduction), usage billing, usage payment, privacy filtering,
reporting, and security related communication and encryption
techniques.

-34-

(0061603.01)

VDE extensively employs methods in the form of software
objects to augment configurability, portability, and security of the
VDE environment. It also employs a software object architecture
for VDE content containers that carries protected content and may
also carry both freely available information (e.g, summary, table of
contents) and secured content control information which ensures
the performance of control information. Content control
information governs content usage according to criteria set by
holders of rights to an object's contents and/or according to parties
who otherwise have rights associated with distributing such
content (such as governments, financial credit providers, and
users).

In part, security is enhanced by object methods employed by
the present invention because the encryption schemes used to
protect an object can efficiently be further used to protect the
associated content control information (software control
information and relevant data) from modification. Said object
techniques also enhance portability between various computer
and/or other appliance environments because electronic
information in the form of content can be inserted along with (for
example, in the same object container as) content control
information (for said content) to produce a "published" object. As
a result, various portions of said control information may be
specifically adapted for different environments, such as for diverse
computer platforms and operating systems, and said various
portions may all be carried by a VDE container.

An objective of VDE is supporting a transaction/distribution
control standard. Development of such a standard has many

-35-

(0061603.01)

obstacles, given the security requirements and related hardware
and communications issues, widely differing environments,
information types, types of information usage, business and/or
data security goals, varieties of participants, and properties of
delivered information. A significant feature of VDE accommodates
the many, varying distribution and other transaction variables by,
in part, decomposing electronic commerce and data security
functions into generalized capability modules executable within a
secure hardware SPU and/or corresponding software subsystem
and further allowing extensive flexibility in assembling, modifying,
and/or replacing, such modules (e.g. load modules and/or methods)
in applications run on a VDE installation foundation. This
configurability and ^configurability allows electronic commerce
and data security participants to reflect their priorities and
requirements through a process of iteratively shaping an evolving
extended electronic agreement (electronic control model). This
shaping can occur as content control information passes from one
VDE participant to another and to the extent allowed by "in place"
content control information. This process allows users of VDE to
recast existing control information and/or add new control
information as necessary (including the elimination of no longer
required elements).

VDE supports trusted (sufficiently secure) electronic
information distribution and usage control models for both
commercial electronic content distribution and data security
applications. It can be configured to meet the diverse
requirements of a network of interrelated participants that may
include content creators, content distributors, client
administrators, end users, and/or clearinghouses and/or other

-36-

(0061603.01)

content usage information users. These parties may constitute a
network of participants involved in simple to complex electronic
content dissemination, usage control, usage reporting, and/or
usage payment. Disseminated content may include both originally
provided and VDE generated information (such as content usage
information) and content control information may persist through
both chains (one or more pathways) of content and content control
information handling, as well as the direct usage of content. The
configurability provided by the present invention is particularly
critical for supporting electronic commerce, that is enabling
businesses to create relationships and evolve strategies that offer
competitive value. Electronic commerce tools that are not
inherently configurable and interoperable will ultimately fail to
produce products (and services) that meet both basic requirements
and evolving needs of most commerce applications.

VDE's fundamental configurability will allow a broad range
of competitive electronic commerce business models to flourish. It
allows business models to be shaped to maximize revenues
sources, end-user product value, and operating efficiencies. VDE
can be employed to support multiple, differing models, take
advantage of new revenue opportunities, and deliver product
configurations most desired by users. Electronic commerce
technologies that do not, as the present invention does:

• support a broad range of possible, complementary
revenue activities,

• offer a flexible array of content usage features most
desired by customers, and

• exploit opportunities for operating efficiencies,

-37-

(0061603.01)

will result in products that are often intrinsically more costly and
less appealing and therefore less competitive in the marketplace.

Some of the key factors contributing to the configurability
intrinsic to the present invention include:

(a) integration into the fundamental control environment
of a broad range of electronic appliances through
portable API and programming language tools that
efficiently support merging of control and auditing
capabilities in nearly any electronic appliance
environment while maintaining overall system
security;

(b) modular data structures;

(c) generic content model;

(d) general modularity and independence of foundation
architectural components;

(e) modular security structures;

(£) variable length and multiple branching chains of
control; and

(g) independent, modular control structures in the form
executable load modules that can be maintained in
one or more libraries, and assembled into control
methods and models, and where such model control

-38-

(0061603.01)

schemes can "evolve" as control information passes
through the VDE installations of participants of a
pathway of VDE content control information handling.

Because of the breadth of issues resolved by the present
invention, it can provide the emerging "electronic highway" with a
single transaction/distribution control system that can, for a very
broad range of commercial and data security models, ensure
against unauthorized use of confidential and/or proprietary
information and commercial electronic transactions. VDE's
electronic transaction management mechanisms can enforce the
electronic rights and agreements of all parties participating in
widely varying business and data security models, and this can be
efficiently achieved through a single VDE implementation within
each VDE participant's electronic appliance. VDE supports widely
varying business and/or data security models that can involve a
broad range of participants at various "levels" of VDE content
and/or content control information pathways of handling. Different
content control and/or auditing models and agreements may be
available on the same VDE installation. These models and
agreements may control content in relationship to, for example,
VDE installations and/or users in general; certain specific users,
installations, classes and/or other groupings of installations and/or
users; as well as to electronic content generally on a given
installation, to specific properties, property portions, classes and/or
other groupings of content.

Distribution using VDE may package both the electronic
content and control information into the same VDE container,
and/or may involve the delivery to an end-user site of different

-39-

(0061603.01)

pieces of the same VDE managed property from plural separate
remote locations and/or in plural separate VDE content containers
and/or employing plural different delivery means. Content control
information may be partially or fully delivered separately from its
associated content to a user VDE installation in one or more VDE
administrative objects. Portions of said control information may
be delivered from one or more sources. Control information may
also be available for use by access from a user's VDE installation
secure sub-system to one or more remote VDE secure sub-systems
and/or VDE compatible, certified secure remote locations. VDE
control processes such as metering, budgeting, decrypting and/or
fingerprinting, may as relates to a certain user content usage
activity, be performed in a user's local VDE installation secure
subsystem, or said processes may be divided amongst plural secure
subsystems which may be located in the same user VDE
installations and/or in a network server and in the user
installation. For example, a local VDE installation may perform
decryption and save any, or all of, usage metering information
related to content and/or electronic appliance usage at such user
installation could be performed at the server employing secure
(e.g., encrypted) communications between said secure subsystems.
Said server location may also be used for near real time, frequent,
or more periodic secure receipt of content usage information from
said user installation, with, for example, metered information
being maintained only temporarily at a local user installation.

Delivery means for VDE managed content may include
electronic data storage means such as optical disks for delivering
one portion of said information and broadcasting and/or
telecommunicating means for other portions of said information.

-40-

(0061603.01)

Electronic data storage means may include magnetic media,
optical media, combined magneto-optical systems, flash RAM
memory, bubble memory, and/or other memory storage means such
as huge capacity optical storage systems employing holographic,
5 frequency, and/or polarity data storage techniques. Data storage

means may also employ layered disc techniques, such as the use of
generally transparent and/or translucent materials that pass light
through layers of data carrying discs which themselves are
physically packaged together as one thicker disc. Data carrying
10 locations on such discs may be, at least in part, opaque.

VDE supports a general purpose foundation for secure
transaction management, including usage control, auditing,
reporting, and/or payment. This general purpose foundation is

15 called "VDE Functions" ("VDEFs"). VDE also supports a

collection of "atomic" application elements (e.g., load modules) that
can be selectively aggregated together to form various VDEF
capabilities called control methods and which serve as VDEF
applications and operating system functions. When a host

20 operating environment of an electronic appliance includes VDEF

capabilities, it is called a "Rights Operating System" (ROS). VDEF
load modules, associated data, and methods form a body of
information that for the purposes of the present invention are
called "control information." VDEF control information may be

25 specifically associated with one or more pieces of electronic content

and/or it may be employed as a general component of the
operating system capabilities of a VDE installation.

VDEF transaction control elements reflect and enact content
30 specific and/or more generalized administrative (for example,

-41 -

(0061603.01)

general operating system) control information. VDEF capabilities
which can generally take the form of applications (application
models) that have more or less configurability which can be shaped
by VDE participants, through the use, for example, of VDE
templates, to employ specific capabilities, along, for example, with
capability parameter data to reflect the elements of one or more
express electronic agreements between VDE participants in
regards to the use of electronic content such as commercially
distributed products. These control capabilities manage the use of,
and/or auditing of use of, electronic content, as well as reporting
information based upon content use, and any payment for said
use. VDEF capabilities may "evolve" to reflect the requirements of
one or more successive parties who receive or otherwise contribute
to a given set of control information. Frequently, for a VDE
application for a given content model (such as distribution of
entertainment on CD-ROM, content delivery from an Internet
repository, or electronic catalog shopping and advertising, or some
combination of the above) participants would be able to securely
select from amongst available, alternative control methods and
apply related parameter data, wherein such selection of control
method and/or submission of data would constitute their
"contribution" of control information. Alternatively, or in addition,
certain control methods that have been expressly certified as
securely interoperable and compatible with said application may
be independently submitted by a participant as part of such a
contribution. In the most general example, a generally certified
load module (certified for a given VDE arrangement and/or content
class) may be used with many or any VDE application that
operates in nodes of said arrangement. These parties, to the
extent they are allowed, can independently and securely add,

-42-

(0061603.01)

delete, and/or otherwise modify the specification of load modules
and methods, as well as add, delete or otherwise modify related
information.

5 Normally the party who creates a VDE content container

defines the general nature of the VDEF capabilities that will
and/or may apply to certain electronic information. A VDE
content container is an object that contains both content ( for
example, commercially distributed electronic information products

10 such as computer software programs, movies, electronic

publications or reference materials, etc.) and certain control
information related to the use of the object's content. A creating
party may make a VDE container available to other parties.
Control information delivered by, and/or otherwise available for

15 use with, VDE content containers comprise (for commercial

content distribution purposes) VDEF control capabilities (and any
associated parameter data) for electronic content. These
capabilities may constitute one or more "proposed" electronic
agreements (and/or agreement functions available for selection

20 and/or use with parameter data) that manage the use and/or the

consequences of use of such content and which can enact the terms
and conditions of agreements involving multiple parties and their
various rights and obligations.

25 A VDE electronic agreement may be explicit, through a user

interface acceptance by one or more parties, for example by a
"junior" party who has received control information from a "senior"
party, or it may be a process amongst equal parties who
individually assert their agreement. Agreement may also result

30 from an automated electronic process during which terms and

-43-

(0061603.01)

conditions are "evaluated" by certain VDE participant control
information that assesses whether certain other electronic terms
and conditions attached to content and/or submitted by another
party are acceptable (do not violate acceptable control information
criteria). Such an evaluation process may be quite simple, for
example a comparison to ensure compatibility between a portion
of, or all senior, control terms and conditions in a table of terms
and conditions and the submitted control information of a
subsequent participant in a pathway of content control information
handling, or it may be a more elaborate process that evaluates the
potential outcome of, and/or implements a negotiation process
between, two or more sets of control information submitted by two
or more parties. VDE also accommodates a semi-automated
process during which one or more VDE participants directly,
through user interface means, resolve "disagreements'' between
control information sets by accepting and/or proposing certain
control information that may be acceptable to control information
representing one or more other parties interests and/or responds to
certain user interface queries for selection of certain alternative
choices and/or for certain parameter information, the responses
being adopted if acceptable to applicable senior control
information.

When another party (other than the first applier of rules),
perhaps through a negotiation process, accepts, and/or adds to
and/or otherwise modifies, "in place" content control information, a
VDE agreement between two or more parties related to the use of
such electronic content may be created (so long as any
modifications are consistent with senior control information).
Acceptance of terms and conditions related to certain electronic

-44-

(0061603.01)

content may be direct and express, or it may be implicit as a result
of use of content (depending, for example, on legal requirements,
previous exposure to such terms and conditions, and requirements
of in place control information).

VDEF capabilities may be employed, and a VDE agreement
may be entered into, by a plurality of parties without the VDEF
capabilities being directly associated with the controlling of
certain, specific electronic information. For example, certain one
or more VDEF capabilities may be present at a VDE installation,
and certain VDE agreements may have been entered into during
the registration process for a content distribution application, to be
used by such installation for securely controlling VDE content
usage, auditing, reporting and/or payment. Similarly, a specific
VDE participant may enter into a VDE user agreement with a
VDE content or electronic appliance provider when the user andVor
her appliance register with such provider as a VDE installation
and/or user. In such events, VDEF in place control information
available to the user VDE installation may require that certain
VDEF methods are employed, for example in a certain sequence,
in order to be able to use all and/or certain classes, of electronic
content and/or VDE applications.

VDE ensures that certain prerequisites necessary for a given
transaction to occur are met. This includes the secure execution of
any required load modules and the availability of any required,
associated data. For example, required load modules and data
(e.g. in the form of a method) might specify that sufficient credit
from an authorized source must be confirmed as available. It
might farther require certain one or more load modules execute as

-45-

(0061603.01)

processes at an appropriate time to ensure that such credit will be
used in order to pay for user use of the content. A certain content
provider might, for example, require metering the number of
copies made for distribution to employees of a given software
program (a portion of the program might be maintained in
encrypted form and require the presence of a VDE installation to
run). This would require the execution of a metering method for
copying of the property each time a copy was made for another
employee. This same provider might also charge fees based on the
total number of different properties licensed from them by the user
and a metering history of their licensing of properties might be
required to maintain this information.

VDE provides organization, community, and/or universe
wide secure environments whose integrity is assured by processes
securely controlled in VDE participant user installations (nodes).
VDE installations, in the preferred embodiment, may include both
software and tamper resistant hardware semiconductor elements.
Such a semiconductor arrangement comprises, at least in part,
special purpose circuitry that has been designed to protect against
tampering with, or unauthorized observation of, the information
and functions used in performing the VDE's control functions. The
special purpose secure circuitry provided by the present invention
includes at least one of: a dedicated semiconductor arrangement
known as a Secure Processing Unit (SPU) and/or a standard
microprocessor, microcontroller, and/or other processing logic that
accommodates the requirements of the present invention and
functions as an SPU. VDE's secure hardware may be found
incorporated into, for example, a fax/modem chip or chip pack, I/O
controller, video display controller, and/or other available digital

-46-

(0061603.01)

processing arrangements. It is anticipated that portions of the
present invention's VDE secure hardware capabilities may
ultimately be standard design elements of central processing units
(CPUs) for computers and various other electronic devices.

Designing VDE capabilities into one or more standard
microprocessor, microcontroller and/or other digital processing
components may materially reduce VDE related hardware costs by
employing the same hardware resources for both the transaction
management uses contemplated by the present invention and for
other, host electronic appliance functions. This means that a VDE
SPU can employ (share) circuitry elements of a "standard" CPU.
For example, if a "standard" processor can operate in protected
mode and can execute VDE related instructions as a protected
activity, then such an embodiment may provide sufficient
hardware security for a variety of applications and the expense of
a special purpose processor might be avoided. Under one
preferred embodiment of the present invention, certain memory
(e.g., RAM, ROM, NVRAM) is maintained during VDE related
instruction processing in a protected mode (for example, as
supported by protected mode microprocessors). This memory is
located in the same package as the processing logic (e.g. processor).
Desirably, the packaging and memory of such a processor would be
designed using security techniques that enhance its resistance to
tampering.

The degree of overall security of the VDE system is
primarily dependent on the degree of tamper resistance and
concealment of VDE control process execution and related data
storage activities. Employing special purpose semiconductor

-47-

(0061603.01)

packaging techniques can significantly contribute to the degree of
security. Concealment and tamper-resistance in semiconductor
memory (e.g., RAM, ROM, NVRAM) can be achieved, in part, by
employing such memory within an SPU package, by encrypting
data before it is sent to external memory (such as an external
RAM package) and decrypting encrypted data within the
CPU/RAM package before it is executed. This process is used for
important VDE related data when such data is stored on
unprotected media, for example, standard host storage, such as
random access memory, mass storage, etc. In that event, a VDE
SPU would encrypt data that results from a secure VDE execution
before such data was stored in external memory.

Summary of Some Important Features Provided by VDE in
Accordance With the Present Invention

VDE employs a variety of capabilities that serve as a

foundation for a general purpose, sufficiently secure distributed

electronic commerce solution. VDE enables an electronic

commerce marketplace that supports divergent, competitive

business partnerships, agreements, and evolving overall business

models. For example, VDE includes features that:

"sufficiently" impede unauthorized and/or
uncompensated use of electronic information and/or
appliances through the use of secure communication,
storage, and transaction management technologies.
VDE supports a model wide, distributed security
implementation which creates a single secure "virtual"
transaction processing and information storage
environment. VDE enables distributed VDE
installations to securely store and communicate

-48-

(0061603.01)

information and remotely control the execution
processes and the character of use of electronic
information at other VDE installations and in a wide
variety of ways;

support low-cost, efficient, and effective security
architectures for transaction control, auditing,
reporting, and related communications and
information storage. VDE may employ tagging related
security techniques, the time-ageing of encryption
keys, the compartmentalization of both stored control
information (including differentially tagging such
stored information to ensure against substitution and
tampering) and distributed content (to, for many
content applications, employ one or more content
encryption keys that are unique to the specific VDE
installation and/or user), private key techniques such
as triple DES to encrypt content, public key
techniques such as RSA to protect communications
and to provide the benefits of digital signature and
authentication to securely bind together the nodes of a
VDE arrangement, secure processing of important
transaction management executable code, and a
combining of a small amount of highly secure,
hardware protected storage space with a much larger
"exposed" mass media storage space storing secured
(normally encrypted and tagged) control and audit
information. VDE employs special purpose hardware
distributed throughout some or all locations of a VDE
implementation: a) said hardware controlling

-49-

(0061603.01)

important elements of: content preparation (such as
causing such content to be placed in a VDE content
container and associating content control information
with said content), content and/or electronic appliance
usage auditing, content usage analysis, as well as
content usage control; and b) said hardware having
been designed to securely handle processing load
module control activities, wherein said control
processing activities may involve a sequence of
required control factors;

support dynamic user selection of information subsets
of a VDE electronic information product (VDE
controlled content). This contrasts with the
constraints of having to use a few high level
individual, pre-defined content provider information
increments such as being required to select a whole
information product or product section in order to
acquire or otherwise use a portion of such product or
section. VDE supports metering and usage control
over a variety of increments (including "atomic"
increments, and combinations of different increment
types) that are selected ad hoc by a user and represent
a collection of pre-identified one or more increments
(such as one or more blocks of a preidentified nature,
e.g., bytes, images, logically related blocks) that form a
generally arbitrary, but logical to a user, content
"deliverable." VDE control information (including
budgeting, pricing and metering) can be configured so
that it can specifically apply, as appropriate, to ad hoc

-50-

(0061603.01)

selection of different, unanticipated variable user
selected aggregations of information increments and
pricing levels can be, at least in part, based on
quantities and/or nature of mixed increment selections
5 (for example, a certain quantity of certain text could

mean associated images might be discounted by 15%;
a greater quantity of text in the "mixed" increment
selection might mean the images are discounted 20%).
Such user selected aggregated information increments

10 can reflect the actual requirements of a user for

information and is more flexible than being limited to
a single, or a few, high level, (e.g. product, document,
database record) predetermined increments. Such
high level increments may include quantities of

15 information not desired by the user and as a result be

more costly than the subset of information needed by
the user if such a subset was available. In sum, the
present invention allows information contained in
electronic information products to be supplied

20 according to user specification. Tailoring to user

specification allows the present invention to provide
the greatest value to users, which in turn will
generate the greatest amount of electronic commerce
activity. The user, for example, would be able to

25 define an aggregation of content derived from various

portions of an available content product, but which, as
a deliverable for use by the user, is an entirely unique
aggregated increment. The user may, for example,
select certain numbers of bytes of information from

30 various portions of an information product, such as a

•51 -

(0061603.01)

reference work, and copy them to disc in unencrypted
form and be billed based on total number of bytes plus
a surcharge on the number of "articles" that provided
the bytes. A content provider might reasonably |
charge less for such a user denned information
increment since the user does not require all of the
content from all of the articles that contained desired
information. This process of defining a user desired
information increment may involve artificial
intelligence database search tools that contribute to
the location of the most relevant portions of
information from an information product and cause
the automatic display to the user of information
describing search criteria hits for user selection or the
automatic extraction and delivery of such portions to
the user. VDE further supports a wide variety of
predefined increment types including:

• bytes,

• images,

• content over time for audio or video, or any
other increment that can be identified by content
provider data mapping efforts, such as:

• sentences,

• paragraphs,

• articles,

• database records, and

• byte offsets representing increments of logically
related information.

-52-

(0061603.01)

VDE supports as many simultaneous predefined increment types
as may be practical for a given type of content and business model.

• securely store at a user's site potentially highly
detailed information reflective of a user's usage of a
variety of different content segment types and
employing both inexpensive "exposed" host mass
storage for maintaining detailed information in the
form of encrypted data and maintaining summary
information for security testing in highly secure
special purpose VDE installation nonvolatile memory
(if available).

• support trusted chain of handling capabilities for
pathways of distributed electronic information and/or
for content usage related information. Such chains
may extend, for example, from a content creator, to a
distributor, a redistributor, a client user, and then
may provide a pathway for securely reporting the
same and/or differing usage information to one or
more auditors, such as to one or more independent
clearinghouses and then back to the content providers,
including content creators. The same and/or different
pathways employed for certain content handling, and
related content control information and reporting
information handling, may also be employed as one or
more pathways for electronic payment handling
(payment is characterized in the present invention as
administrative content) for electronic content and/or

-53-

(0061603.01)

appliance usage. These pathways are used for
conveyance of all or portions of content, and/or content
related control information. Content creators and
other providers can specify the pathways that,
partially or fully, must be used to disseminate
commercially distributed property content, content
control information, payment administrative content,
and/or associated usage reporting information.
Control information specified by content providers
may also specify which specific parties must or may
(including, for example, a group of eligible parties
from which a selection may be made) handle conveyed
information. It may also specify what transmission
means (for example telecommunication carriers or
media types) and transmission hubs must or may be
used.

support flexible auditing mechanisms, such as
employing "bitmap meters," that achieve a high degree
of efficiency of operation and throughput and allow, in
a practical manner, the retention and ready recall of
information related to previous usage activities and
related patterns. This flexibility is adaptable to a wide
variety of billing and security control strategies such
as:

■ upgrade pricing (e.g. suite purchases),

■ pricing discounts (including quantity discounts),

■ billing related time duration variables such as
discounting new purchases based on the timing
of past purchases, and

-54-

(0061603.01)

■ security budgets based on quantity of different,
logically related units of electronic information
used over an interval of time.

Use of bitmap meters (including "regular" and "wide"
bitmap meters) to record usage and/or purchase of
information, in conjunction with other elements of the
preferred embodiment of the present invention,
uniquely supports efficient maintenance of usage
history for: (a) rental, (b) flat fee licensing or
purchase, (c) licensing or purchase discounts based
upon historical usage variables, and (d) reporting to
users in a maimer enabling users to determine
whether a certain item was acquired, or acquired
within a certain time period (without requiring the
use of conventional database mechanisms, which are
highly inefficient for these applications). Bitmap
meter methods record activities associated with
electronic appliances, properties, objects, or portions
thereof, and/or administrative activities that are
independent of specific properties, objects, etc.,
performed by a user and/or electronic appliance such
that a content and/or appliance provider and/or
controller of an administrative activity can determine
whether a certain activity has occurred at some point,
or during a certain period, in the past (for example,
certain use of a commercial electronic content product
and/or appliance). Such determinations can then be
used as part of pricing and/or control strategies of a
content and/or appliance provider, and/or controller of

-55-

(0061603.01)

an administrative activity. For example, the content
provider may choose to charge only once for access to
a portion of a property, regardless of the number of
times that portion of the property is accessed by a
user.

support "launchable" content, that is content that can
be provided by a content provider to an end-user, who
can then copy or pass along the content to other
end-user parties without requiring the direct
participation of a content provider to register and/or
otherwise initialize the content for use. This content
goes "out of (the traditional distribution) channel" in
the form of a "traveling object." Traveling objects are
containers that securely carry at least some
permissions information and/or methods that are
required for their use (such methods need not be
carried by traveling objects if the required methods
will be available at, or directly available to, a
destination VDE installation). Certain travelling
objects may be used at some or all VDE installations
of a given VDE arrangement since they can make
available the content control information necessary for
content use without requiring the involvement of a
commercial VDE value chain participant or data
security administrator (e.g. a control officer or network
administrator). As long as traveling object control
information requirements are available at the user
VDE installation secure subsystem (such as the
presence of a sufficient quantity of financial credit

-56-

(0061603.01)

from an authorized credit provider), at least some
travelling object content may be used by a receiving
party without the need to establish a connection with
a remote VDE authority (until, for example, budgets
are exhausted or a time content usage reporting
interval has occurred). Traveling objects can travel
a out-of-channel, w allowing, for example, a user to give
a copy of a traveling object whose content is a
software program, a movie or a game, to a neighbor,
the neighbor being able to use the traveling object if
appropriate credit (e.g. an electronic clearinghouse
account from a clearinghouse such as VISA or AT&T)
is available. Similarly, electronic information that is
generally available on an Internet, or a similar
network, repository might be provided in the form of a
traveling object that can be downloaded and
subsequently copied by the initial downloader and
then passed along to other parties who may pass the
object on to additional parties.

provide very flexible and extensible user identification
according to individuals, installations, by groups such
as classes, and by function and hierarchical
identification employing a hierarchy of levels of client
identification (for example, client organization ID,
client department ID, client network ID, client project
ID, and client employee ID, or any appropriate subset
of the above).

-57-

(0061603.01)

provide a general purpose, secure, component based
content control and distribution system that functions
as a foundation transaction operating system
environment that employs executable code pieces
crafted for transaction control and auditing. These
code pieces can be reused to optimize efficiency in
creation and operation of trusted, distributed
transaction management arrangements. VDE
supports providing such executable code in the form of
"atomic" load modules and associated data. Many
such load modules are inherently configurable,
aggregatable, portable, and extensible and singularly,
or in combination (along with associated data), run as
control methods under the VDE transaction operating
environment. VDE can satisfy the requirements of
widely differing electronic commerce and data security
applications by, in part, employing this general
purpose transaction management foundation to
securely process VDE transaction related control
methods. Control methods are created primarily
through the use of one or more of said executable,
reusable load module code pieces (normally in the
form of executable object components) and associated
data. The component nature of control methods
allows the present invention to efficiently operate as a
highly configurable content control system. Under the
present invention, content control models can be
iteratively and asynchronously shaped, and otherwise
updated to accommodate the needs of VDE
participants to the extent that such shaping and

-58-

(0061603.01)

otherwise updating conforms to constraints applied by
a VDE application, if any (e.g., whether new
component assemblies are accepted and, if so, what
certification requirements exist for such component
assemblies or whether any or certain participants may
shape any or certain control information by selection
amongst optional control information (permissions
record) control methods. This iterative (or concurrent)
multiple participant process occurs as a result of the
submission and use of secure, control information
components (executable code such as load modules
and/or methods, and/or associated data). These
components may be contributed independently by
secure communication between each control
information influencing VDE participant's VDE
installation and may require certification for use with
a given application, where such certification was
provided by a certification service manager for the
VDE arrangement who ensures secure interoperability
and/or reliability (e.g., bug control resulting from
interaction) between appliances and submitted control
methods. The transaction management control
functions of a VDE electronic appliance transaction
operating environment interact with non-secure
transaction management operating system functions
to properly direct transaction processes and data
related to electronic information security, usage
control, auditing, and usage reporting. VDE provides
the capability to manages resources related to secure

-59-

(0061603.01)

VDE content and/or appliance control information
execution and data storage.

facilitate creation of application and/or system
functionality under VDE and to facilitate integration
into electronic appliance environments of load modules
and methods created under the present invention. To
achieve this, VDE employs an Application
Programmer's Interface (API) and/or a transaction
operating system (such as a ROS) programming
language with incorporated functions, both of which
support the use of capabilities and can be used to
efficiently and tightly integrate VDE functionality into
commercial and user applications.

support user interaction through: (a) "Pop-Up"
applications which, for example, provide messages to
users and enable users to take specific actions such as
approving a transaction, (b) stand-alone VDE
applications that provide administrative environments
for user activities such as: end-user preference
specifications for limiting the price per transaction,
unit of time, and/or session, for accessing history
information concerning previous transactions, for
reviewing financial information such as budgets,
expenditures (e.g. detailed and/or summary) and usage
analysis information, and (c) VDE aware applications
which, as a result of the use of a VDE API and/or a
transaction management (for example, ROS based)
programming language embeds VDE "awareness" into

-60-

(0061603.01)

commercial or internal software (application programs,
games, etc.) so that VDE user control information and
services are seamlessly integrated into such software
and can be directly accessed by a user since the
underlying functionality has been integrated into the
commercial software's native design. For example, in
a VDE aware word processor application, a user may
be able to "print" a document into a VDE content
container object, applying specific control information
by selecting from amongst a series of different menu
templates for different purposes (for example, a
confidential memo template for internal organization
purposes may restrict the ability to "keep," that is to
make an electronic copy of the memo).

employ "templates" to ease the process of configuring
capabilities of the present invention as they relate to
specific industries or businesses. Templates are
applications or application add-ons under the present
invention. Templates support the efficient
specification and/or manipulation of criteria related to
specific content types, distribution approaches, pricing
mechanisms, user interactions with content and/or
administrative activities, and/or the like. Given the
very large range of capabilities and configurations
supported by the present invention, reducing the
range of configuration opportunities to a manageable
subset particularly appropriate for a given business
model allows the full configurable power of the present
invention to be easily employed by "typical" users who

-61-

(0061603.01)

would be otherwise burdened with complex
programming and/or configuration design
responsibilities template applications can also help
ensure that VDE related processes are secure and
optimally bug free by reducing the risks associated
with the contribution of independently developed load
modules, including unpredictable aspects of code
interaction between independent modules and
applications, as well as security risks associated with
possible presence of viruses in such modules. VDE,
through the use of templates, reduces typical user
configuration responsibilities to an appropriately
focused set of activities including selection of method
types (e.g. functionality) through menu choices such as
multiple choice, icon selection, and/or prompting for
method parameter data (such as identification
information, prices, budget limits, dates, periods of
time, access rights to specific content, etc.) that supply
appropriate and/or necessary data for control
information purposes. By limiting the typical
(non-programming) user to a limited subset of
configuration activities whose general configuration
environment (template) has been preset to reflect
general requirements corresponding to that user, or a
content or other business model can very substantially
limit difficulties associated with content
containerization (including placing initial control
information on content), distribution, client
administration, electronic agreement implementation,
end-user interaction, and clearinghouse activities,

-62-

(0061603.01)

including associated interoperability problems (such as
conflicts resulting from security, operating system,
and/or certification incompatibilities). Use of
appropriate VDE templates can assure users that
their activities related to content VDE
containerization, contribution of other control
information, communications, encryption techniques
and/or keys, etc. will be in compliance with
specifications for their distributed VDE arrangement.
VDE templates constitute preset configurations that
can normally be reconfigurable to allow for new and/or
modified templates that reflect adaptation into new
industries as they evolve or to reflect the evolution or
other change of an existing industry. For example,
the template concept may be used to provide
individual, overall frameworks for organizations and
individuals that create, modify, market, distribute,
consume, and/or otherwise use movies, audio
recordings and live performances, magazines,
telephony based retail sales, catalogs, computer
software, information data bases, multimedia,
commercial communications, advertisements, market
surveys, infomercials, games, CAD/CAM services for
numerically controlled machines, and the like. As the
context surrounding these templates changes or
evolves, template applications provided under the
present invention may be modified to meet these
changes for broad use, or for more focused activities. A
given VDE participant may have a plurality of
templates available for different tasks. A party that

-63-

(0061603.01)

places content in its initial VDE container may have a
variety of different, configurable templates depending
on the type of content and/or business model related to
the content. An end-user may have different
configurable templates that can be applied to different
document types (e-mail, secure internal documents,
database records, etc.) and/or subsets of users
(applying differing general sets of control information
to different bodies of users, for example, selecting a
list of users who may, under certain preset criteria,
use a certain document). Of course, templates may,
under certain circumstances have fixed control
information and not provide for user selections or
parameter data entry.

support plural, different control models regulating the
use and/or auditing of either the same specific copy of
electronic information content and/or differently
regulating different copies (occurrences) of the same
electronic information content. Differing models for
billing, auditing, and security can be applied to the
same piece of electronic information content and such
differing sets of control information may employ, for
control purposes, the same, or differing, granularities
of electronic information control increments. This
includes supporting variable control information for
budgeting and auditing usage as applied to a variety
of predefined increments of electronic information,
including employing a variety of different budgets
and/or metering increments for a given electronic

-64-

(0061603.01)

information deliverable for: billing units of measure,
credit limit, security budget limit and security content
metering increments, and/or market surveying and
customer profiling content metering increments. For
example, a CD-ROM disk with a database of scientific
articles might be in part billed according to a formula
based on the number of bytes decrypted, number of
articles containing said bytes decrypted, while a
security budget might limit the use of said database to
no more than 5% of the database per month for users
on the wide area network it is installed on.

provide mechanisms to persistently maintain trusted
content usage and reporting control information
through both a sufficiently secure chain of handling of
content and content control information and through
various forms of usage of such content wherein said
persistence of control may survive such use.
Persistence of control includes the ability to extract
information from a VDE container object by creating a
new container whose contents are at least in part
secured and that contains both the extracted content
and at least a portion of the control information which
control information of the original container and/or are
at least in part produced by control information of the
original container for this purpose and/or VDE
installation control information stipulates should
persist and/or control usage of content in the newly
formed container. Such control information can
continue to manage usage of container content if the

-65-

(0061603.01)

container is -embedded" into another VDE managed
object, such as an object which contains plural
embedded VDE containers, each of which contains
content derived (extracted) from a different source.

enables users, other value chain participants (such as
clearinghouses and government agencies), and/or user
organizations, to specify preferences or requirements
related to their use of electronic content and/or
appliances. Content users, such as end-user
customers using commercially distributed content
(games, information resources, software programs,
etc.), can define, if allowed by senior control
information, budgets, and/or other control information,
to manage their own internal use of content. Uses
include, for example, a user setting a limit on the
price for electronic documents that the user is willing
to pay without prior express user authorization, and
the user establishing the character of metering
information he or she is willing to allow to be collected
(privacy protection). This includes providing the
means for content users to protect the privacy of
information derived from their use of a VDE
installation and content and/or appliance usage
auditing. In particular, VDE can prevent information
related to a participant's usage of electronic content
from being provided to other parties without the
participant's tacit or explicit agreement.

-66-

(0061603.01)

provide mechanisms that allow control information to
"evolve" and be modified according, at least in part, to
independently, securely delivered further control
information. Said control information may include
executable code (e.g., load modules) that has been
certified as acceptable (e.g., reliable and trusted) for
use with a specific VDE application, class of
applications, and/or a VDE distributed arrangement.
This modification (evolution) of control information
can occur upon content control information (load
modules and any associated data) circulating to one or
more VDE participants in a pathway of handling of
control information, or it may occur upon control
information being received from a VDE participant.
Handlers in a pathway of handling of content control
information, to the extent each is authorized, can
establish, modify, and/or contribute to, permission,
auditing, payment, and reporting control information
related to controlling, analyzing, paying for, and/or
reporting usage of, electronic content and/or
appliances (for example, as related to usage of VDE
controlled property content). Independently delivered
(from an independent source which is independent
except in regards to certification), at least in part
secure, control information can be employed to
securely modify content control information when
content control information has flowed from one party
to another party in a sequence of VDE content control
information handling. This modification employs, for
example, one or more VDE component assemblies

-67-

(0061603.01)

being securely processed in a VDE secure subsystem.
In an alternate embodiment, control information may
be modified by a senior party through use of their
VDE installation secure sub-system after receiving
submitted, at least in part secured, control
information from a "junior" party, normally in the
form of a VDE administrative object. Control
information passing along VDE pathways can
represent a mixed control set, in that it may include:
control information that persisted through a sequence
of control information handlers, other control
information that was allowed to be modified, and
further control information representing new control
information and/or mediating data. Such a control set
represents an evolution of control information for
disseminated content. In this example the overall
content control set for a VDE content container is
-evolving" as it securely (e.g. communicated in
encrypted form and using authentication and digital
signaturing techniques) passes, at least in part, to a
new participant's VDE installation where the proposed
control information is securely received and handled.
The received control information may be integrated
(through use of the receiving parties' VDE installation
secure sub-system) with in-place control information
through a negotiation process involving both control
information sets. For example, the modification,
within the secure sub-system of a content provider's
VDE installation, of content control information for a
certain VDE content container may have occurred as a

-68-

(0061603.01)

result of the incorporation of required control
information provided by a financial credit provider.
Said credit provider may have employed their VDE
installation to prepare and securely communicate
(directly or indirectly) said required control
information to said content provider. Incorporating
said required control information enables a content
provider to allow the credit provider's credit to be
employed by a content end-user to compensate for the
end-user's use of VDE controlled content and/or
appliances, so long as said end-user has a credit
account with said financial credit provider and said
credit account has sufficient credit available.
Similarly, control information requiring the payment
of taxes and/or the provision of revenue information
resulting from electronic commerce activities may be
securely received by a content provider. This control
information may be received, for example, from a
government agency. Content providers might be
required by law to incorporate such control
information into the control information for
commercially distributed content and/or services
related to appliance usage. Proposed control
information is used to an extent allowed by senior
control information and as determined by any
negotiation trade-ofls that satisfy priorities stipulated
by each set (the received set and the proposed set).
VDE also accommodates different control schemes
specifically applying to different participants (e.g.,
individual participants and/or participant classes

-69-

(0061603.01)

(types)) in a network of VDE content handling
participants.

support multiple simultaneous control models for the
same content property and/or property portion. This
allows, for example, for concurrent business activities
which are dependent on electronic commercial product
content distribution, such as acquiring detailed
market survey information and/or supporting
advertising, both of which can increase revenue and
result in lower content costs to users and greater
value to content providers. Such control information
and/or overall control models may be applied, as
determined or allowed by control information, in
differing manners to different participants in a
pathway of content, reporting, payment, and/or related
control information handling. VDE supports applying
different content control information to the same
and/or different content and/or appliance usage related
activities, and/or to different parties in a content
and/or appliance usage model, such that different
parties (or classes of VDE users, for example) are
subject to differing control information managing their
use of electronic information content. For example,
differing control models based on the category of a
user as a distributor of a VDE controlled content
object or an end-user of such content may result in
different budgets being applied. Alternatively, for
example, a one distributor may have the right to
distribute a different array of properties than another

-70-

(0061603.01)

distributor (from a common content collection
provided, for example, on optical disc). An individual,
and/or a class or other grouping of end-users, may
have different costs (for example, a student, senior
citizen, and/or poor citizen user of content who may be
provided with the same or differing discounts) than a
"typical" content user.

support provider revenue information resulting from
customer use of content and/or appliances, and/or
provider and/or end-user payment of taxes, through
the transfer of credit and/or electronic currency from
said end-user and/or provider to a government agency,
might occur "automatically" as a result of such
received control information causing the generation of
a VDE content container whose content includes
customer content usage information reflecting secure,
trusted revenue summary information and/or detailed
user transaction listings Gevel of detail might depend,
for example on type or size of
transaction— information regarding a bank interest
payment to a customer or a transfer of a large (e.g.
over $10,000) might be, by law, automatically reported
to the government). Such summary and/or detailed
information related to taxable events and/or currency,
and/or creditor currency transfer, may be passed along
a pathway of reporting and/or payment to the
government in a VDE container. Such a container
may also be used for other VDE related content usage
reporting information.

-71-

(0061603.01)

support the flowing of content control information
through different "branches" of content control
information handling so as to accommodate, under the
present invention's preferred embodiment, diverse
controlled distributions of VDE controlled content.
This allows different parties to employ the same
initial electronic content with differing (perhaps
competitive) control strategies. In this instance, a
party who first placed control information on content
can make certain control assumptions and these
assumptions would evolve into more specific and/or
extensive control assumptions. These control
assumptions can evolve during the branching sequence
upon content model participants submitting control
information changes, for example, for use in
"negotiating" with "in place" content control
information. This can result in new or modified
content control information and/or it might involve the
selection of certain one or more already "in-place"
content usage control methods over in-place
alternative methods, as well as the submission of
relevant control information parameter data. This
form of evolution of different control information sets
applied to different copies of the same electronic
property content and/or appliance results from VDE
control information flowing "down" through different
branches in an overall pathway of handling and
control and being modified differently as it diverges
down these different pathway branches. This ability
of the present invention to support multiple pathway

-72-

(0061603.01)

branches for the flow of both VDE content control
information and VDE managed content enables an
electronic commerce marketplace which supports
diverging, competitive business partnerships,
agreements, and evolving overall business models
which can employ the same content properties
combined, for example, in differing collections of
content representing differing at least in part
competitive products.

enable a user to securely extract, through the use of
the secure subsystem at the user's VDE installation,
at least a portion of the content included within a
VDE content container to produce a new, secure object
(content container), such that the extracted
information is maintained in a continually secure
manner through the extraction process. Formation of
the new VDE container containing such extracted
content shall result in control information consistent
with, or specified by, the source VDE content
container, and/or local VDE installation secure
subsystem as appropriate, content control information.
Relevant control information, such as security and
administrative information, derived, at least in part,
from the parent (source) object's control information,
will normally be automatically inserted into a new
VDE content container object containing extracted
VDE content. This process typically occurs under the
control framework of a parent object and/or VDE
installation control information executing at the user's

-73-

(0061603.01)

VDE installation secure subsystem (with, for example,
at least a portion of this inserted control information
being stored securely in encrypted form in one or more
permissions records). In an alternative embodiment,
the derived content control information applied to
extracted content may be in part or whole derived
from, or employ, content control information stored
remotely from the VDE installation that performed
the secure extraction such as at a remote server
location. As with the content control information for
most VDE managed content, features of the present
invention allows the content's control information to:

(a) "evolve," for example, the extractor of content
may add new control methods and/or modify
control parameter data, such as VDE
application compliant methods, to the extent
allowed by the content's in-place control
information. Such new control information
might specify, for example, who may use at least
a portion of the new object, and/or how said at
least a portion of said extracted content may be
used (e.g. when at least a portion may be used,
or what portion or quantity of portions may be
used);

(b) allow a user to combine additional content with
at least a portion of said extracted content, such
as material authored by the extractor and/or
content (for example, images, video, audio,

. 74-

(0061603.01)

and/or text) extracted from one or more other
VDE container objects for placement directly
into the new container;

(c) allow a user to securely edit at least a portion of
said content while maintaining said content in a
secure form within said VDE content container;

(d) append extracted content to a pre-existing VDE
content container object and attach associated
control information - in these cases, user added
information may be secured, e.g., encrypted, in
part or as a whole, and may be subject to usage
and/or auditing control information that differs
from the those applied to previously in place
object content;

(e) preserve VDE control over one or more portions
of extracted content after various forms of usage
of said portions, for example, maintain content
in securely stored form while allowing
"temporary" on screen display of content or
allowing a software program to be maintained in
secure form but transiently decrypt any
encrypted executing portion of said program (all,
or only a portion, of said program may be
encrypted to secure the program).

Generally, the extraction features of the present
invention allow users to aggregate and/or disseminate

-75-

(0061603.01)

and/or otherwise use protected electronic content
information extracted from content container sources
while maintaining secure VDE capabilities thus
preserving the rights of providers in said content
information after various content usage processes.

support the aggregation of portions of VDE controlled
content, such portions being subject to differing VDE
content container control information, wherein various
of said portions may have been provided by
independent, different content providers from one or
more different locations remote to the user performing
the aggregation. Such aggregation, in the preferred
embodiment of the present invention, may involve
preserving at least a portion of the control information
(e.g., executable code such as load modules) for each of
various of said portions by, for example, embedding
some or all of such portions individually as VDE
content container objects within an overall VDE
content container and/or embedding some or all of
such portions directly into a VDE content container.
In the latter case, content control information of said
content container may apply differing control
information sets to various of such portions based
upon said portions original control information
requirements before aggregation. Each of such
embedded VDE content containers may have its own
control information in the form of one or more
permissions records. Alternatively, a negotiation
between control information associated with various

-76-

(0061603.01)

aggregated portions of electronic content, may produce
a control information set that would govern some or
all of the aggregated content portions. The VDE
content control information produced by the
negotiation may be uniform (such as having the same
load modules and/or component assemblies, and/or it
may apply differing such content control information
to two or more portions that constitute an aggregation
of VDE controlled content such as differing metering,
budgeting, billing and/or payment models. For
example, content usage payment may be automatically
made, either through a clearinghouse, or directly, to
different content providers for different potions.

enable flexible metering of, or other collection of
information related to, use of electronic content and/or
electronic appliances. A feature of the present
invention enables such flexibility of metering control
mechanisms to accommodate a simultaneous, broad
array of: (a) different parameters related to electronic
information content use; (b) different increment units
(bytes, documents, properties, paragraphs, images,
etc.) and/or other organizations of such electronic
content; and/or (c) different categories of user and/or
VDE installation types, such as client organizations,
departments, projects, networks, and/or individual
users, etc. This feature of the present invention can
be employed for content security, usage analysis (for
example, market surveying), and/or compensation
based upon the use and/or exposure to VDE managed

-77-

(0061603.01)

content. Such metering is a flexible basis for ensuring
payment for content royalties, licensing, purchasing,
and/or advertising. A feature of the present invention
provides for payment means supporting flexible
electronic currency and credit mechanisms, including
the ability to securely maintain audit trails reflecting
information related to use of such currency or credit.
VDE supports multiple differing hierarchies of client
organization control information wherein an
organization client administrator distributes control
information specifying the usage rights of
departments, users, and/or projects. Likewise, a
department (division) network manager can function
as a distributor (budgets, access rights, etc.) for
department networks, projects, and/or users, etc.

provide scalable, integratable, standardized control
means for use on electronic appliances ranging from
inexpensive consumer (for example, television set-top
appliances) and professional devices (and hand-held
PDAs) to servers, mainframes, communication
switches, etc. The scalable transaction
management/auditing technology of the present
invention will result in more efficient and reliable
interoperability amongst devices functioning in
electronic commerce and/or data security
environments. As standardized physical containers
have become essential to the shipping of physical
goods around the world, allowing these physical
containers to universally "fit" unloading equipment,

-78-

(0061603.01)

efficiently use truck and train space, and
accommodate known arrays of objects (for example,
boxes) in an efficient manner, so VDE electronic
content containers may, as provided by the present
invention, be able to efficiently move electronic
information content (such as commercially published
properties, electronic currency and credit, and content
audit information), and associated content control
information, around the world. Interoperability is
fundamental to efficient electronic commerce. The
design of the VDE foundation, VDE load modules,
and VDE containers, are important features that
enable the VDE node operating environment to be
compatible with a very broad range of electronic
appliances. The ability, for example, for control
methods based on load modules to execute in very
"small" and inexpensive secure sub-system
environments, such as environments with very little
read/write memory, while also being able to execute in
large memory sub-systems that may be used in more
expensive electronic appliances, supports consistency
across many machines. This consistent VDE
operating environment, including its control structures
and container architecture, enables the use of
standardized VDE content containers across a broad
range of device types and host operating
environments. Since VDE capabilities can be
seamlessly integrated as extensions, additions, and/or
modifications to fundamental capabilities of electronic
appliances and host operating systems, VDE

-79-

(0061603.01)

containers, content control information, and the VDE
foundation will be able to work with many device
types and these device types will be able to
consistently and efficiently interpret and enforce VDE
control information. Through this integration users
can also benefit from a transparent interaction with
many of the capabilities of VDE. VDE integration
with software operating on a host electronic appliance
supports a variety of capabilities that would be
unavailable or less secure without such integration.
Through integration with one or more device
applications and/or device operating environments,
many capabilities of the present invention can be
presented as inherent capabilities of a given electronic
appliance, operating system, or appliance application.
For example, features of the present invention include:
(a) VDE system software to in part extend and/or
modify host operating systems such that they
possesses VDE capabilities, such as enabling secure
transaction processing and electronic information
storage; (b) one or more application programs that in
part represent tools associated with VDE operation;
and/or (c) code to be integrated into application
programs, wherein such code incorporates references
into VDE system software to integrate VDE
capabilities and makes such applications VDE aware
(for example, word processors, database retrieval
applications, spreadsheets, multimedia presentation
authoring tools, film editing software, music editing
software such as MIDI applications and the like,

-80-

(0061603.01)

robotics control systems such as those associated with
CAD/CAM environments and NCM software and the
like, electronic mail systems, teleconferencing
software, and other data authoring, creating,
handling, and/or usage applications including
combinations of the above). These one or more
features (which may also be implemented in firmware
or hardware) may be employed in conjunction with a
VDE node secure hardware processing capability, such
as a microcontrollers), microprocessors), other CPU(s)
or other digital processing logic.

employ audit reconciliation and usage pattern
evaluation processes that assess, through certain,
normally network based, transaction processing
reconciliation and threshold checking activities,
whether certain violations of security of a VDE
arrangement have occurred. These processes are
performed remote to VDE controlled content end-user
VDE locations by assessing, for example, purchases,
and/or requests, for electronic properties by a given
VDE installation. Applications for such reconciliation
activities include assessing whether the quantity of
remotely delivered VDE controlled content
corresponds to the amount of financial credit and/or
electronic currency employed for the use of such
content. A trusted organization can acquire
information from content providers concerning the cost
for content provided to a given VDE installation
and/or user and compare this cost for content with the

-81-

(0061603.01)

credit and/or electronic currency disbursements for
that installation and/or user. Inconsistencies in the
amount of content delivered versus the amount of
disbursement can prove, and/or indicate, depending on
the circumstances, whether the local VDE installation
has been, at least to some degree, compromised (for
example, certain important system security functions,
such as breaking encryption for at least some portion
of the secure subsystem and/or VDE controlled content
by uncovering one or more keys). Determining
whether irregular patterns (e.g. unusually high
demand) of content usage, or requests for delivery of
certain kinds of VDE controlled information during a
certain time period by one or more VDE installations
and/or users (including, for example, groups of related
users whose aggregate pattern of usage is suspicious)
may also be useful in determining whether security at
such one or more installations, and/or by such one or
more users, has been compromised, particularly when
used in combination with an assessment of electronic
credit and/or currency provided to one or more VDE
users and/or installations, by some or all of their
credit and/or currency suppliers, compared with the
disbursements made by such users and/or
installations.

support security techniques that materially increase
the time required to "break" a system's integrity. This
includes using a collection of techniques that
minimizes the damage resulting from comprising some

-82-

(0061603.01)

aspect of the security features of the present
inventions.

provide a family of authoring, administrative,
reporting, payment, and billing tool user applications
that comprise components of the present invention's
trusted/secure, universe wide, distributed transaction
control and administration system. These components
support VDE related: object creation (including
placing control information on content), secure object
distribution and management (including distribution
control information, financial related, and other usage
analysis), client internal VDE activities administration
and control, security management, user interfaces,
payment disbursement, and clearinghouse related
functions. These components are designed to support
highly secure, uniform, consistent, and standardized:
electronic commerce and/or data security pathway(s) of
handling, reporting, and/or payment; content control
and administration; and human factors (e.g. user
interfaces).

support the operation of a plurality of clearinghouses,
including, for example, both financial and user
clearinghouse activities, such as those performed by a
client administrator in a large organization to assist in
the organization's use of a VDE arrangement,
including usage information analysis, and control of
VDE activities by individuals and groups of employees
such as specifying budgets and the character of usage

-83-

(0061603.01)

rights available under VDE for certain groups of
and/or individual, client personnel, subject to control
information series to control information submitted by
the client administrator. At a clearinghouse, one or
more VDE installations may operate together with a
trusted distributed database environment (which may
include concurrent database processing means). A
financial clearinghouse normally receives at its
location securely delivered content usage information,
and user requests (such as requests for further credit,
electronic currency, and/or higher credit limit).
Reporting of usage information and user requests can
be used for supporting electronic currency, billing,
payment and credit related activities, and/or for user
profile analysis and/or broader market survey analysis
and marketing (consolidated) list generation or other
information derived, at least in part, from said usage
information, this information can be provided to
content providers or other parties, through secure,
authenticated encrypted communication to the VDE
installation secure subsystems. Clearinghouse
processing means would normally be connected to
specialized I/O means, which may include high speed
telecommunication switching means that may be used
for secure communications between a clearinghouse
and other VDE pathway participants.

securely support electronic currency and credit usage
control, storage, and communication at, and between,
VDE installations. VDE further supports automated

-84-

(0061603.01)

passing of electronic currency and/or credit
information, including payment tokens (such as in the
form of electronic currency or credit) or other payment
information, through a pathway of payment, which
said pathway may or may not be the same as a
pathway for content usage information reporting.
Such payment may be placed into a VDE container
created automatically by a VDE installation in
response to control information stipulating the
"withdrawal" of credit or electronic currency from an
electronic credit or currency account based upon an
amount owed resulting from usage of VDE controlled
electronic content and/or appliances. Payment credit
or currency may then be automatically communicated
in protected (at least in part encrypted) form through
telecommunication of a VDE container to an
appropriate party such as a clearinghouse, provider of
original property content or appliance, or an agent for
such provider (other than a clearinghouse). Payment
information may be packaged in said VDE content
container with, or without, related content usage
information, such as metering information. An aspect
of the present invention further enables certain
information regarding currency use to be specified as
unavailable to certain, some, or all VDE parties
("conditionally* to fully anonymous currency) and/or
further can regulate certain content information, such
as currency and/or credit use related information
(and/or other electronic information usage data) to be
available only under certain strict circumstances, such

-85-

(0061603.01)

as a court order (which may itself require
authorization through the use of a court controlled
VDE installation that may be required to securely
access "conditionally* anonymous information).
Currency and credit information, under the preferred
embodiment of the present invention, is treated as
administrative content;

support fingerprinting (also known as watermarking)
for embedding in content such that when content
protected under the present invention is released in
clear form from a VDE object (displayed, printed,
communicated, extracted, and/or saved), information
representing the identification of the user and/or VDE
installation responsible for transforming the content
into clear form is embedded into the released content.
Fingerprinting is useful in providing an ability to
identify who extracted information in clear form a
VDE container, or who made a copy of a VDE object or
a portion of its contents. Since the identity of the user
and/or other identifying information may be embedded
in an obscure or generally concealed manner, in VDE
container content and/or control information, potential
copyright violators may be deterred from unauthorized
extraction or copying. Fingerprinting normally is
embedded into unencrypted electronic content or
control information, though it can be embedded into
encrypted content and later placed in unencrypted
content in a secure VDE installation sub-system as
the encrypted content carrying the fingerprinting

-86-

(0061603.01)

information is decrypted. Electronic information, such
as the content of a VDE container, may be
fingerprinted as it leaves a network (such as Internet)
location bound for a receiving party. Such repository
information may be maintained in unencrypted form
prior to communication and be encrypted as it leaves
the repository. Fingerprinting would preferably take
place as the content leaves the repository, but before
the encryption step. Encrypted repository content can
be decrypted, for example in a secure VDE
sub-system, fingerprint information can be inserted,
and then the content can be re-encrypted for
transmission. Embedding identification information of
the intended recipient user and/or VDE installation
into content as it leaves, for example, an Internet
repository, would provide important information that
would identify or assist in identifying any party that
managed to compromise the security of a VDE
installation or the delivered content. If a party
produces an authorized clear form copy of VDE
controlled content, including making unauthorized
copies of an authorized clear form copy, fingerprint
information would point back to that individual and/or
his or her VDE installation. Such hidden information
will act as a strong disincentive that should dissuade
a substantial portion of potential content "pirates"
from stealing other parties electronic information.
Fingerprint information identifying a receiving party
and/or VDE installation can be embedded into a VDE
object before, or during, decryption, replication, or

•87 -

(0061603.01)

communication of VDE content objects to receivers.
Fingerprinting electronic content before it is encrypted
for transfer to a customer or other user provides
information that can be very useful for identifying who
received certain content which may have then been
distributed or made available in unencrypted form.
This information would be useful in tracking who may
have "broken" the security of a VDE installation and
was illegally making certain electronic content
available to others. Fingerprinting may provide
additional, available information such as time and/or
date of the release (for example extraction) of said
content information. Locations for inserting
fingerprints may be specified by VDE installation
and/or content container control information. This
information may specify that certain areas and/or
precise locations within properties should be used for
fingerprinting, such as one or more certain fields of
information or information types. Fingerprinting
information may be incorporated into a property by
modifying in a normally undetectable way color
frequency and/or the brightness of certain image
pixels, by slightly modifying certain audio signals as
to frequency, by modifying font character formation,
etc. Fingerprint information, itself, should be
encrypted so as to make it particularly difficult for
tampered fingerprints to be interpreted as valid.
Variations in fingerprint locations for different copies
of the same property; "false" fingerprint information;
and multiple copies of fingerprint information within a

-88-

(0061603.01)

specific property or other content which copies employ
different fingerprinting techniques such as information
distribution patterns, frequency and/or brightness
manipulation, and encryption related techniques, are
features of the present invention for increasing the
difficulty of an unauthorized individual identifying
fingerprint locations and erasing and/or modifying
fingerprint information.

provide smart object agents that can carry requests,
data, and/or methods, including budgets,
authorizations, credit or currency, and content. For
example, smart objects may travel to and/or from
remote information resource locations and fulfill
requests for electronic information content. Smart
objects can, for example, be transmitted to a remote
location to perform a specified database search on
behalf of a user or otherwise "intelligently" search
remote one or more repositories of information for user
desired information. After identifying desired
information at one or more remote locations, by for
example, performing one or more database searches,
a smart object may return via communication to the
user in the form of a secure "return object" containing
retrieved information. A user may be charged for the
remote retrieving of information, the returning of
information to the user's VDE installation, and/or the
use of such information. In the latter case, a user
may be charged only for the information in the return
object that the user actually uses. Smart objects may

-89-

(0061603.01)

have the means to request use of one or more services
and/or resources. Services include locating other
services and/or resources such as information
resources, language or format translation, processing,
credit (or additional credit) authorization, etc.
Resources include reference databases, networks, high
powered or specialized computing resources (the smart
object may carry information to another computer to
be efficiently processed and then return the
information to the sending VDE installation), remote
object repositories, etc. Smart objects can make
efficient use of remote resources (e.g. centralized
databases, super computers, etc.) while providing a
secure means for charging users based on information
and/or resources actually used.

support both "translations" of VDE electronic
agreements elements into modern language printed
agreement elements (such as English language
agreements) and translations of electronic rights
protection/transaction management modern language
agreement elements to electronic VDE agreement
elements. This feature requires maintaining a library
of textual language that corresponds to VDE load
modules and/or methods and/or component assemblies.
As VDE methods are proposed and/or employed for
VDE agreements, a listing of textual terms and
conditions can be produced by a VDE user application
which, in a preferred embodiment, provides phrases,
sentences and/or paragraphs that have been stored

-90-

(0061603.01)

and correspond to said methods and/or assemblies.
This feature preferably employs artificial intelligence
capabilities to analyze and automatically determine,
and/or assist one or more users to determine, the
proper order and relationship between the library
elements corresponding to the chosen methods and/or
assemblies so as to compose some or all portions of a
legal or descriptive document. One or more users,
and/or preferably an attorney (if the document a legal,
binding agreement), would review the generated
document material upon completion and employ such
additional textual information and/or editing as
necessary to describe non electronic transaction
elements of the agreement and make any other
improvements that may be necessary. These features
further support employing modern language tools that
allow one or more users to make selections from
choices and provide answers to questions and to
produce a VDE electronic agreement from such a
process. This process can be interactive and the VDE
agreement formulation process may employ artificial
intelligence expert system technology that learns from
responses and, where appropriate and based at least
in part on said responses, provides further choices
and/or questions which "evolves" the desired VDE
electronic agreement.

support the use of multiple VDE secure subsystems in
a single VDE installation. Various security and/or
performance advantages may be realized by employing

-91-

(0061603.01)

a distributed VDE design within a single VDE
installation. For example, designing a hardware
based VDE secure subsystem into an electronic
appliance VDE display device, and designing said
subsystem's integration with said display device so
that it is as close as possible to the point of display,
will increase the security for video materials by
making it materially more difficult to "steal" decrypted
video information as it moves from outside to inside
the video system. Ideally, for example, a VDE secure
hardware module would be in the same physical
package as the actual display monitor, such as within
the packaging of a video monitor or other display
device, and such device would be designed, to the
extent commercially practical, to be as tamper
resistant as reasonable. As another example,
embedding a VDE hardware module into an I/O
peripheral may have certain advantages from the
standpoint of overall system throughput. If multiple
VDE instances are employed within the same VDE
installation, these instances will ideally share
resources to the extent practical, such as VDE
instances storing certain control information and
content and/or appliance usage information on the
same mass storage device and in the same VDE
management database.

requiring reporting and payment compliance by
employing exhaustion of budgets and time ageing of
keys. For example, a VDE commercial arrangement

-92-

(0061603.01)

and associated content control information may
involve a content provider's content and the use of
clearinghouse credit for payment for end-user usage of
said content. Control information regarding said
arrangement may be delivered to a user's (of said
content) VDE installation and/or said financial
clearinghouse's VDE installation. Said control
information might require said clearinghouse to
prepare and telecommunicate to said content provider
both content usage based information in a certain
form, and content usage payment in the form of
electronic credit (such credit might be "owned" by the
provider after receipt and used in lieu of the
availability or adequacy of electronic currency) and/or
electronic currency. This delivery of information and
payment may employ trusted VDE installation secure
subsystems to securely, and in some embodiments,
automatically, provide in the manner specified by said
control information, said usage information and
payment content. Features of the present invention
help ensure that a requirement that a clearinghouse
report such usage information and payment content
will be observed. For example, if one participant to a
VDE electronic agreement fails to observe such
information reporting and/or paying obligation,
another participant can stop the delinquent party from
successfully participating in VDE activities related to
such agreement. For example, if required usage
information and payment was not reported as
specified by content control information, the "injured"

-93-

(0061603.01)

party can fail to provide, through failing to securely
communicate from his VDE installation secure
subsystem, one or more pieces of secure information
necessary for the continuance of one or more critical
processes. For example, failure to report information
and/or payment from a clearinghouse to a content
provider (as well as any security failures or other
disturbing irregularities) can result in the content
provider not providing key and/or budget refresh
information to the clearinghouse, which information
can be necessary to authorize use of the
clearinghouse's credit for usage of the provider's
content and which the clearinghouse would
communicate to end-user's during a content usage
reporting communication between the clearinghouse
and end-user. As another example, a distributor that
foiled to make payments and/or report usage
information to a content provider might find that their
budget for creating permissions records to distribute
the content provider's content to users, and/or a
security budget limiting one or more other aspect of
their use of the provider's content, are not being
refreshed by the content provider, once exhausted or
timed-out (for example, at a predetermined date). In
these and other cases, the offended party might decide
not to refresh time ageing keys that had "aged out."
Such a use of time aged keys has a similar impact as
failing to refresh budgets or time-aged authorizations.

-94-

(0061603.01)

support smart card implementations of the present
invention in the form of portable electronic appliances,
including cards that can be employed as secure credit,
banking, and/or money cards. A feature of the present
invention is the use of portable VDEs as transaction
cards at retail and other establishments, wherein such
cards can "dock" with an establishment terminal that
has a VDE secure sub-system and/or an online
connection to a VDE secure and/or otherwise secure
and compatible subsystem, such as a "trusted"
financial clearinghouse (e.g., VISA, Mastercard). The
VDE card and the terminal (and/or online connection)
can securely exchange information related to a
transaction, with credit and/or electronic currency
being transferred to a merchant and/or clearinghouse
and transaction information flowing back to the card.
Such a card can be used for transaction activities of all
sorts. A docking station, such as a PCMCIA connector
on an electronic appliance, such as a personal
computer, can receive a consumer's VDE card at home.
Such a station/card combination can be used for
on-line transactions in the same manner as a VDE
installation that is permanently installed in such an
electronic appliance. The card can be used as an
"electronic wallet n and contain electronic currency as
well as credit provided by a clearinghouse. The card
can act as a convergence point for financial activities
of a consumer regarding many, if not all, merchant,
banking, and on-line financial transactions, including
supporting home banking activities. A consumer can

-95-

(0061603.01)

receive his paycheck and/or investment earnings
and/or "authentic" VDE content container secured
detailed information on such receipts, through on-line
connections. A user can send digital currency to
another party with a VDE arrangement, including
giving away such currency. A VDE card can retain
details of transactions in a highly secure and database
organized fashion so that financially related
information is both consolidated and very easily
retrieved and/or analyzed. Because of the VDE
security, including use of effective encryption,
authentication, digital signaturing, and secure
database structures, the records contained within a
VDE card arrangement may be accepted as valid
transaction records for government and/or corporate
recordkeeping requirements. In some embodiments of
the present invention a VDE card may employ docking
station and/or electronic appliance storage means
and/or share other VDE arrangement means local to
said appliance and/or available across a network, to
augment the information storage capacity of the VDE
card, by for example, storing dated, and/or archived,
backup information. Taxes relating to some or all of
an individual's financial activities may be
automatically computed based on "authentic"
information securely stored and available to said VDE
card. Said information may be stored in said card, in
said docking station, in an associated electronic
appliance, and/or other device operatively attached
thereto, and/or remotely, such as at a remote server

-96-

(0061603.01)

site. A card's data, e.g. transaction history, can be
backed up to an individual's personal computer or
other electronic appliance and such an appliance may
have an integrated VDE installation of its own. A
current transaction, recent transactions (for
redundancy), or all or other selected card data may be
backed up to a remote backup repository, such a VDE
compatible repository at a financial clearinghouse,
during each or periodic docking for a financial
transaction and/or information communication such as
a user/merchant transaction. Backing up at least the
current transaction during a connection with another
party's VDE installation (for example a VDE
installation that is also on a financial or general
purpose electronic network), by posting transaction
information to a remote clearinghouse and/or bank,
can ensure that sufficient backup is conducted to
enable complete reconstruction of VDE card internal
information in the event of a card failure or loss.

support certification processes that ensure authorized
interoperability between various VDE installations so
as to prevent VDE arrangements and/or installations
that unacceptably deviate in specification protocols
from other VDE arrangements and/or installations
from interoperating in a manner that may introduce
security (integrity and/or confidentiality of VDE
secured information), process control, and/or software
compatibility problems. Certification validates the
identity of VDE installations and/or their components,

-97 -

(0061603.01)

as well as VDE users. Certification data can also
serve as information that contributes to determining
the decommissioning or other change related to VDE
sites.

support the separation of fundamental transaction
control processes through the use of event (triggered)
based method control mechanisms. These event
methods trigger one or more other VDE methods

(which are available to a secure VDE sub-system) and
are used to carry out VDE managed transaction
related processing. These triggered methods include
independently (separably) and securely processable
component billing management methods, budgeting
management methods, metering management
methods, and related auditing management processes.
As a result of this feature of the present invention,
independent triggering of metering, auditing, billing,
and budgeting methods, the present invention is able
to efficiently, concurrently support multiple financial
currencies (e.g. dollars, marks, yen) and content
related budgets, and/or billing increments as well as
very flexible content distribution models.

support, complete, modular separation of the control
structures related to (1) content event triggering, (2)
auditing, (3) budgeting (including specifying no right
of use or unlimited right of use), (4) billing, and (5)
user identity (VDE installation, client name,
department, network, and/or user, etc.). The

-98-

(0061603.01)

independence of these VDE control structures provides
a flexible system which allows plural relationships
between two or more of these structures, for example,
the ability to associate a financial budget with
different event trigger structures (that are put in place
to enable controlling content based on its logical
portions). Without such separation between these
basic VDE capabilities, it would be more difficult to
efficiently maintain separate metering, budgeting,
identification, and/or billing activities which involve
the same, differing (including overlapping), or entirely
different, portions of content for metering, billing,
budgeting, and user identification, for example, paying
fees associated with usage of content, performing
home banking, managing advertising services, etc.
VDE modular separation of these basic capabilities
supports the programming of plural, "arbitrary"
relationships between one or differing content portions
(and/or portion units) and budgeting, auditing, and/or
billing control information. For example, under VDE,
a budget limit of $200 dollars or 300 German Marks a
month may be enforced for decryption of a certain
database and 2 U.S. Dollars or 3 German Marks may
be charged for each record of said database decrypted
(depending on user selected currency). Such usage
can be metered while an additional audit for user
profile purposes can be prepared recording the identity
of each filed displayed. Additionally, further metering
can be conducted regarding the number of said
database bytes that have been decrypted, and a

-99-

(0061603.01)

related security budget may prevent the decrypting of
more than 5% of the total bytes of said database per
year. The user may also, under VDE (if allowed by
senior control information), collect audit information
reflecting usage of database fields by different
individuals and client organization departments and
ensure that differing rights of access and differing
budgets limiting database usage can be applied to
these client individuals and groups. Enabling content
providers and users to practically employ such diverse
sets of user identification, metering, budgeting, and
billing control information results, in part, from the
use of such independent control capabilities. As a
result, VDE can support great configurability in
creation of plural control models applied to the same
electronic property and the same and/or plural control
models applied to differing or entirely different
content models (for example, home banking versus
electronic shopping).

Methods, Other Control Information, and VDE Objects

VDE control information (e.g., methods) that collectively
control use of VDE managed properties (database, document,
individual commercial product), are either shipped with the
content itself (for example, in a content container) and/or one or
more portions of such control information is shipped to distributors
and/or other users in separably deliverable -administrative
objects." A subset of the methods for a property may in part be
delivered with each property while one or more other subsets of
methods can be delivered separately to a user or otherwise made

- 100-

(0061603.01)

available for use (such as being available remotely by
telecommunication means). Required methods (methods listed as
required for property and/or appliance use) must be available as
specified if VDE controlled content (such as intellectual property
5 distributed within a VDE content container) is to be used.

Methods that control content may apply to a plurality of VDE
container objects, such as a class or other grouping of such objects.
Methods may also be required by certain users or classes of users
and/or VDE installations and/or classes of installations for such
10 parties to use one or more specific, or classes of, objects.

A feature of VDE provided by the present invention is that
certain one or more methods can be specified as required in order
for a VDE installation and/or user to be able to use certain and/or

15 all content. For example, a distributor of a certain type of content

might be allowed by "senior" participants (by content creators, for
example) to require a method which prohibits end-users from
electronically saving decrypted content, a provider of credit for
VDE transactions might require an audit method that records the

20 time of an electronic purchase, and/or a user might require a

method that summarizes usage information for reporting to a
clearinghouse (e.g. billing information) in a way that does not
convey confidential, personal information regarding detailed usage
behavior.

25

A further feature of VDE provided by the present invention
is that creators, distributors, and users of content can select from
among a set of predefined methods (if available) to control
container content usage and distribution functions and/or they
30 may have the right to provide new customized methods to control

- 101-

(0061603.01)

at least certain usage functions (such "new" methods may be
required to be certified for trustedness and interoperability to the
VDE installation and/or for of a group of VDE applications). As a
result, VDE provides a very high degree of configurability with
respect to how the distribution and other usage of each property or
object (or one or more portions of objects or properties as desired
and/or applicable) will be controlled. Each VDE participant in a
VDE pathway of content control information may set methods for
some or all of the content in a VDE container, so long as such
control information does not conflict with senior control
information already in place with respect to:

(1) certain or all VDE managed content,

(2) certain one or more VDE users and/or groupings of
users,

(3) certain one or more VDE nodes and/or groupings of
nodes, and/or

(4) certain one or more VDE applications and/or
arrangements.

For example, a content creator's VDE control information for
certain content can take precedence over other submitted VDE
participant control information and, for example, if allowed by
senior control information, a content distributor's control
information may itself take precedence over a client
administrator's control information, which may take precedence
over an end-user's control information. A path of distribution

- 102-

(0061603.01)

participant's ability to set such electronic content control
information can be limited to certain control information (for
example, method mediating data such as pricing and/or sales
dates) or it may be limited only to the extent that one or more of
the participant's proposed control information conflicts with
control information set by senior control information submitted
previously by participants in a chain of handling of the property,
or managed in said participant's VDE secure subsystem.

VDE control information may, in part or in full, (a)
represent control information directly put in place by VDE content
control information pathway participants, and/or (b) comprise
control information put in place by such a participant on behalf of
a party who does not directly handle electronic content (or
electronic appliance) permissions records information (for example
control information inserted by a participant on behalf of a
financial clearinghouse or government agency). Such control
information methods (and/or load modules and/or mediating data
and/or component assemblies) may also be put in place by either
an electronic automated, or a semi-automated and human assisted,
control information (control set) negotiating process that assesses
whether the use of one or more pieces of submitted control
information will be integrated into and/or replace existing control
information (and/or chooses between alternative control
information based upon interaction with in-place control
information) and how such control information may be used.

Control information may be provided by a party who does
not directly participate in the handling of electronic content
(and/or appliance) and/or control information for such content

- 103-

(0061603.01)

(and/or appliance). Such control information may be provided in
secure form using VDE installation secure sub-system managed
communications (including, for example, authenticating the
deliverer of at least in part encrypted control information) between
such not directly participating one or more parties* VDE
installation secure subsystems, and a pathway of VDE content
control information participant's VDE installation secure
subsystem. This control information may relate to, for example,
the right to access credit supplied by a financial services provider,
the enforcement of regulations or laws enacted by a government
agency, or the requirements of a customer of VDE managed
content usage information (reflecting usage of content by one or
more parties other than such customer) relating to the creation,
handling and/or manner of reporting of usage information received
by such customer. Such control information may, for example,
enforce societal requirements such as laws related to electronic
commerce.

VDE content control information may apply differently to
different pathway of content and/or control information handling
participants. Furthermore, permissions records rights may be
added, altered, and/or removed by a VDE participant if they are
allowed to take such action. Rights of VDE participants may be
denned in relation to specific parties and/or categories of parties
and/or other groups of parties in a chain of handling of content
and/or content control information (e.g., permissions records).
Modifications to control information that may be made by a given,
eligible party or parties, may be limited in the number of
modifications, and/or degree of modification, they may make.

-104-

(0061603.01)

At least one secure subsystem in electronic appliances of
creators, distributors, auditors, clearinghouses, client
administrators, and end-users (understanding that two or more
the above classifications may describe a single user) provides a
"sufficiently" secure (for the intended applications) environment
for:

1. Decrypting properties and control information;

2. Storing control and metering related information;

3. Managing communications;

4. Processing core control programs, along with

associated data, that constitute control information f<
electronic content and/or appliance rights protection,
including the enforcing of preferences and
requirements of VDE participants.

Normally, most usage, audit, reporting, payment, and
distribution control methods are themselves at least in part
encrypted and are executed by the secure subsystem of a VDE
installation. Thus, for example, billing and metering records can
be securely generated and updated, and encryption and decryption
keys are securely utilized, within a secure subsystem. Since VDE
also employs secure (e.g. encrypted and authenticated)
communications when passing information between the participant
location (nodes) secure subsystems of a VDE arrangement,
important components of a VDE electronic agreement can be
reliably enforced with sufficient security (sufficiently trusted) for

- 105 -

(0061603 01)

the intended commercial purposes. A VDE electronic agreement
for a value chain can be composed, at least in part, of one or more
subagreements between one or more subsets of the value cham
participants. These subagreements are comprised of one or more
electronic contract "compliance" elements (methods including
associated parameter data) that ensure the protection of the rights
of VDE participants.

The degree of trustedness of a VDE arrangement will be
primarily based on whether hardware SPUs are employed at
participant location secure subsystems and the effectiveness of the
SPU hardware security architecture, software security techniques
when an SPU is emulated in software, and the encryption
algorithm(s) and keys that are employed for securing content,
control information, communications, and access to VDE node
(VDE installation) secure subsystems. Physical facility and user
identity authentication security procedures may be used instead of
hardware SPUs at certain nodes, such as at an established
financial clearinghouse, where such procedures may provide
sufficient security for trusted interoperability with a VDE
arrangement employing hardware SPUs at user nodes.

The updating of property management files at each location
of a VDE arrangement, to accommodate new or modified control
information, is performed in the VDE secure subsystem and under
the control of secure management file updating programs executed
by the protected subsystem. Since all secure communications are
at least in part encrypted and the processing inside the secure
subsystem is concealed from outside observation and interference,
the present invention ensures that content control information can

- 106-

(0061603.01)

be enforced. As a result, the creator and/or distributor and/or
client administrator and/or other contributor of secure control
information for each property (for example, an end-user restricting
the kind of audit information he or she will allow to be reported
and/or a financial clearinghouse establishing certain criteria for
use of its credit for payment for use of distributed content) can be
confident that their contributed and accepted control information
will be enforced (within the security limitations of a given VDE
security implementation design). This control information can
determine, for example:

(1) How and/or to whom electronic content can be
provided, for example, how an electronic property can
be distributed;

(2) How one or more objects and/or properties, or portions
of an object or property, can be directly used, such as
decrypted, displayed, printed, etc;

(3) How payment for usage of such content and/or content
portions may or must be handled; and

(4) How audit information about usage information
related to at least a portion of a property should be
collected, reported, and/or used.

Seniority of contributed control information, including
resolution of conflicts between content control information
submitted by multiple parties, is normally established by:

- 107 -

(0061603.01)

(1) the sequence in which control information is put in
place by various parties (in place control information
normally takes precedence over subsequently
submitted control information),

(2) the specifics of VDE content and/or appliance control
information. For example, in-place control
information can stipulate which subsequent one or
more piece of control from one or more parties or class
of parties will take precedence over control
information submitted by one or more yet different
parties and/or classes of parties, and/or

(3) negotiation between control information sets from
plural parties, which negotiation establishes what
control information shall constitute the resulting
control information set for a given piece of VDE
managed content and/or VDE installation.

Electronic Agreements and Rights Protection

An important feature of VDE is that it can be used to assure
the administration of, and adequacy of security and rights
protection for, electronic agreements implemented through the use
of the present invention. Such agreements may involve one or
more of:

(1) creators, publishers, and other distributors, of
electronic information,

(2)

financial service (e.g. credit) providers,

- 108-

(0061603.01)

(3) users of (other than financial service providers)
information arising from content usage such as
content specific demographic information and user
specific descriptive information. Such users may
include market analysts, marketing list compilers for
direct and directed marketing, and government
agencies,

(4) end users of content,

(5) infrastructure service and device providers such as
telecommunication companies and hardware
manufacturers (semiconductor and electronic
appliance and/or other computer system
manufacturers) who receive compensation based upon
the use of their services and/or devices, and

(6) certain parties described by electronic information.

VDE supports commercially secure "extended" value chain
electronic agreements- VDE can be configured to support the
various underlying agreements between parties that comprise this
extended agreement. These agreements can define important
electronic commerce considerations including:

(1) security,

(2) content use control, including electronic distribution,

- 109-

(0061603.01)

(3) privacy (regarding, for example, information
concerning parties described by medical, credit, tax,
personal, and/or of other forms of confidential
information),

(4) management of financial processes, and

(5) pathways of handling for electronic content, content
and/or appliance control information, electronic
content and/or appliance usage information and
payment and/or credit.

VDE agreements may define the electronic commerce
relationship of two or more parties of a value chain, but such
agreements may, at times, not directly obligate or otherwise
directly involve other VDE value chain participants. For example,
an electronic agreement between a content creator and a
distributor may establish both the price to the distributor for a
creator's content (such as for a property distributed in a VDE
container object) and the number of copies of this object that this
distributor may distribute to end-users over a given period of time.
In a second agreement, a value chain end-user may be involved in
a three party agreement in which the end-user agrees to certain
requirements for using the distributed product such as accepting
distributor charges for content use and agreeing to observe the
copyright rights of the creator. A third agreement might exist
between the distributor and a financial clearinghouse that allows
the distributor to employ the clearinghouse's credit for payment for
the product if the end-user has a separate (fourth) agreement
directly with the clearinghouse extending credit to the end-user. A

-110-

(0061603.01)

fifth, evolving agreement may develop between all value chain
participants as content control information passes along its chain
of handling. This evolving agreement can establish the rights of
all parties to content usage information, including, for example,
the nature of information to be received by each party and the
pathway of handling of content usage information and related
procedures. A sixth agreement in this example, may involve all
parties to the agreement and establishes certain general
assumptions, such as security techniques and degree of
trustedness (for example, commercial integrity of the system may
require each VDE installation secure subsystem to electronically
warrant that their VDE node meets certain interoperability
requirements). In the above example, these six agreements could
comprise agreements of an extended agreement for this
commercial value chain instance.

VDE agreements support evolving ("living") electronic
agreement arrangements that can be modified by current and/or
new participants through very simple to sophisticated
"negotiations" between newly proposed content control information
interacting with control information already in place and/or by
negotiation between concurrently proposed content control
information submitted by a plurality of parties. A given model
may be asynchronously and progressively modified over time in
accordance with existing senior rules and such modification may
be applied to all, to classes of, and/or to specific content, and/or to
classes and/or specific users and/or user nodes. A given piece of
content may be subject to different control information at different
times or places of handling, depending on the evolution of its
content control information (and/or on differing, applicable VDE

- Ill -

(0061603.01)

installation content control information). The evolution of control
information can occur during the passing along of one or more
VDE control information containing objects, that is control
information may be modified at one or more points along a chain
of control information handling, so long as such modification is
allowed. As a result, VDE managed content may have different
control information applied at both different "locations" in a chain
of content handling and at similar locations in differing chains of
the handling of such content. Such different application of control
information may also result from content control information
specifying that a certain party or group of parties shall be subject
to content control information that differs from another party or
group of parties. For example, content control information for a
given piece of content may be stipulated as senior information and
therefore not changeable, might be put in place by a content
creator and might stipulate that national distributors of a given
piece of their content may be permitted to make 100,000 copies per
calendar quarter, so long as such copies are provided to boni fide
end-users, but may pass only a single copy of such content to a
local retailers and the control information limits such a retailer to
making no more than 1,000 copies per month for retail sales to
end-users. In addition, for example, an end-user of such content
might be limited by the same content control information to
making three copies of such content, one for each of three different
computers he or she uses (one desktop computer at work, one for a
desktop computer at home, and one for a portable computer).

Electronic agreements supported by the preferred
embodiment of the present invention can vary from very simple to
very elaborate. They can support widely diverse information

- 112-

(0061603.01)

management models that provide for electronic information
security, usage administration, and communication and may
support:

(a) secure electronic distribution of information, for
example commercial literary properties,

(b) secure electronic information usage monitoring and
10 reporting,

(c) secure financial transaction capabilities related to
both electronic information and/or appliance usage
and other electronic credit and/or currency usage and

15 administration capabilities,

(d) privacy protection for usage information a user does
not wish to release, and

20 (e) 'living* electronic information content dissemination

models that flexibly accommodate:

(1) a breadth of participants,

25 (2) one or more pathways (chains) for: the handling

of content, content and/or appliance control
information, reporting of content and/or
appliance usage related information, and/or
payment,

30

- 113-

(0061603.01)

(3) supporting an evolution of terms and conditions
incorporated into content control information,
including use of electronic negotiation
capabilities,

(4) support the combination of multiple pieces of
content to form new content aggregations, and

(5) multiple concurrent models.

Secure Processing Units

An important part of VDE provided by the present invention
is the core secure transaction control arrangement, herein called
an SPU (or SPUs), that typically must be present in each user's
computer, other electronic appliance, or network. SPUs provide a
trusted environment for generating decryption keys, encrypting
and decrypting information, managing the secure communication
of keys and other information between electronic appliances (i.e.
between VDE installations and/or between plural VDE instances
within a single VDE installation), securely accumulating and
managing audit trail, reporting, and budget information in secure
and/or non-secure non-volatile memory, maintaining a secure
database of control information management instructions, and
providing a secure environment for performing certain other
control and administrative functions.

A hardware SPU (rather than a software emulation) within
a VDE node is necessary if a highly trusted environment for
performing certain VDE activities is required. Such a trusted
environment may be created through the use of certain control

-114-

(0061603 01)

software, one or more tamper resistant hardware modules such as
a semiconductor or semiconductor chipset (including, for example,
a tamper resistant hardware electronic appliance peripheral
device), for use within, and/or operatively connected to, an
5 electronic appliance. With the present invention, the trustedness

of a hardware SPU can be enhanced by enclosing some or all of its
hardware elements within tamper resistant packaging and/or by
employing other tamper resisting techniques (e.g. microfusing
and/or thin wire detection techniques). A trusted environment of
10 the present invention implemented, in part, through the use of

tamper resistant semiconductor design, contains control logic, such
as a microprocessor, that securely executes VDE processes.

A VDE node's hardware SPU is a core component of a VDE

15 secure subsystem and may employ some or all of an electronic

appliance's primary control logic, such as a microcontroller,
microcomputer or other CPU arrangement. This primary control
logic may be otherwise employed for non VDE purposes such as
the control of some or all of an electronic appliance's non-VDE

20 functions. When operating in a hardware SPU mode, said primary

control logic must be sufficiently secure so as to protect and
conceal important VDE processes. For example, a hardware SPU
may employ a host electronic appliance microcomputer operating
in protected mode while performing VDE related activities, thus

25 allowing portions of VDE processes to execute with a certain

degree of security. This alternate embodiment is in contrast to the
preferred embodiment wherein a trusted environment is created
using a combination of one or more tamper resistant
semiconductors that are not part of said primary control logic. In

30 either embodiment, certain control information (software and

-115-

(0061603.01)

parameter data) must be securely maintained within the SPU, and
further control information can be stored externally and securely
(e.g. in encrypted and tagged form) and loaded into said hardware
SPU when needed. In many cases, and in particular with
microcomputers, the preferred embodiment approach of employing
special purpose secure hardware for executing said VDE processes,
rather than using said primary control logic, may be more secure
and efficient. The level of security and tamper resistance required
for trusted SPU hardware processes depends on the commercial
requirements of particular markets or market niches, and may
vary widely.

-116-

(0061603.01)

WRTF.'F DESCRIPTION OF THE DRAWINGS

These and other features and advantages provided by the
present invention(s) may be better and more completely
5 understood by referring to the following detailed description of

presently preferred example embodiments in connection with the
drawings, of which:

FIGURE 1 illustrates an example of a "Virtual Distribution
10 Environment" provided in accordance with a preferred

example/embodiment of this invention;

FIGURE 1A is a more detailed illustration of an example of
the "Information Utility" shown in FIGURE 1;

15

20

FIGURE 2 illustrates an example of a chain of handling and
control;

FIGURE 2A illustrates one example of how rules and control
information may persist from one participant to another in the
Figure 2 chain of handling and control;

FIGURE 3 shows one example of different control
information that may be provided;

25

-117-

(0061603.01)

FIGURE 4 illustrates examples of some different types of
rules and/or control information;

FIGURES 5A and 5B show an example of an "object";

FIGURE 6 shows an example of a Secure Processing Unit
("SPU");

FIGURE 7 shows an example of an electronic appliance;

FIGURE 8 is a more detailed block diagram of an example
of the electronic appliance shown in FIGURE 7;

FIGURE 9 is a detailed view of an example of the Secure
Processing Unit (SPU) shown in FIGURES 6 and 8;

FIGURE 10 shows an example of a "Rights Operating
System" ("ROS") architecture provided by the Virtual Distribution
Environment;

FIGURES 11A-11C show examples of functional
relationship(s) between applications and the Rights Operating
System;

FIGURES 11D-11J show examples of "components" and
"component assemblies";

- 118-

(0061603.01)

FIGURE 12 is a more detailed diagram of an example of the
Rights Operating System shown in FIGURE 10;

FIGURE 12A shows an example of how "objects" can be
created;

FIGURE 13 is a detailed block diagram of an example the
software architecture for a "protected processing environment"
shown in FIGURE 12;

FIGURES 14A-14C are examples of SPU memory maps
provided by the protected processing environment shown in
FIGURE 13;

FIGURE 15 illustrates an example of how the channel
services manager and load module execution manager of FIGURE
13 can support a channel;

FIGURE 15A is an example of a channel header and
channel detail records shown in FIGURE 15;

FIGURE 15B is a flowchart of an example of program
control steps that may be performed by the FIGURE 13 protected
processing environment to create a channel;

- 119-

(0061603.01)

FIGURE 16 is a block diagram of an example of a secure
data base structure;

FIGURE 17 is an illustration of an example of a logical
5 object structure;

FIGURE 18 shows an example of a stationary object
structure;

10 FIGURE 19 shows an example of a traveling object

structure;

FIGURE 20 shows an example of a content object structure;

15 FIGURE 21 shows an example of an administrative object

structure;

FIGURE 22 shows an example of a method core structure;

20 FIGURE 23 shows an example of a load module structure;

FIGURE 24 shows an example of a User Data Element
(UDE) and/or Method Data Element (MDE) structure;

25 FIGURES 25A-25C show examples of "map meters";

- 120-

(0061603.01)

FIGURE 26 shows an example of a permissions record
(PERC) structure;

FIGURES 26A and 26B together show a more detailed
example of a permissions record structure;

FIGURE 27 shows an example of a shipping table structure;

FIGURE 28 shows an example of a receiving table structure;

FIGURE 29 shows an example of an administrative event
log structure;

FIGURE 30 shows an example inter-relationship between
and use of the object registration table, subject table and user
rights table shown in the FIGURE 16 secure database;

FIGURE 31 is a more detailed example of an object
registration table shown in FIGURE 16;

FIGURE 32 is a more detailed example of subject table
shown in FIGURE 16;

FIGURE 33 is a more detailed example of a user rights table
shown in FIGURE 16;

- 121 -

(0061603.01)

5

10

FIGURE 34 shows a specific example of how a site record
table and group record table may track portions of the secure
database shown in FIGURE 16;

FIGURE 34A is an example of a FIGURE 34 site record
table structure;

FIGURE 34B is an example of a FIGURE 34 group record
table structure;

FIGURE 35 shows an example of a process for updating the
secure database;

FIGURE 36 shows an example of how new elements may be
15 inserted into the FIGURE 16 secure data base;

FIGURE 37 shows an example of how an element of the
secure database may be accessed;

20 FIGURE 38 is a flowchart example of how to protect a

secure database element;

FIGURE 39 is a flowchart example of how to back up a
secure database;

25

- 122-

(0061603.01)

FIGURE 40 is a flowchart example of how to recover a
secure database from a backup;

FIGURES 41A-41D are a set of examples showing how a
"chain of handling and control" may be enabled using "reciprocal
methods";

FIGURES 42A-42D show an example of a "reciprocal"
BUDGET method;

FIGURES 43A-43D show an example of a "reciprocal"
REGISTER method;

FIGURES 44A-44C show an example of a "reciprocal"
AUDIT method;

FIGURES 45-48 show examples of several methods being
used together to control release of content or other information;

FIGURES 49, 49A-49F show an example OPEN method;

FIGURES 50, 50A-50F show an example of a READ method;

FIGURES 51, 51A-51F show an example of a WRITE
method;

- 123 -

(0061603.01)

FIGURE 52 shows an example of a CLOSE method;

FIGURES 53A-53B show an example of an EVENT method;

FIGURE 53C shows an example of a BILLING method;

FIGURE 54 shows an example of an ACCESS method;

FIGURES 55A-55B show examples of DECRYPT and
ENCRYPT methods;

FIGURE 56 shows an example of a CONTENT method;

FIGURES 57A and 57B show examples of EXTRACT and
EMBED methods;

FIGURE 58A shows an example of an OBSCURE method;

FIGURES 58B, 58C show examples of a FINGERPRINT
method;

FIGURE 59 shows an example of a DESTROY method;
FIGURE 60 shows an example of a PANIC method;
FIGURE 61 shows an example of a METER method;

. 124 - (0061603.01)

FIGURE 62 shows an example of a key "convolution"
process;

FIGURE 63 shows an example of how different keys may be
generated using a key convolution process to determine a "true"
key;

FIGURES 64 and 65 show an example of how protected
processing environment keys may be initialized;

FIGURES 66 and 67 show example processes for decrypting
information contained within stationary and traveling objects,
respectively;

FIGURE 68 shows an example of how a protected processing
environment may be initialized;

FIGURE 69 shows an example of how firmware may be
downloaded into a protected processing environment;

FIGURE 70 shows an example of multiple VDE electronic
appliances connected together with a network or other
communications means;

FIGURE 71 shows an example of a portable VDE electronic
appliance;

- 125-

(0061603.01)

FIGURES 72A-72D show examples of "pop-up" displays that
may be generated by the user notification and exception interface;

FIGURE 73 shows an example of a "smart object";

FIGURE 74 shows an example of a process using "smart
objects";

FIGURES 75A-75D show examples of data structures used
for electronic negotiation;

FIGURES 75E-75F show example structures relating to an
electronic agreement;

FIGURES 76A-76B show examples of electronic negotiation
processes;

FIGURE 77 shows a further example of a chain of handling
and control;

FIGURE 78 shows an example of a VDE "repository";

FIGURES 79-83 show an example illustrating a chain of
handling and control to evolve and transform VDE managed
content and control information;

- 126-

(0061603.01)

FIGURE 84 shows a further example of a chain of handling
and control involving several categories of VDE participants;

FIGURE 85 shows a further example of a chain of
distribution and handling within an organization;

Figures 86 and 86A show a further example of a chain of
handling and control; and

Figure 87 shows an example of a virtual silicon container
model.

- 127 -

(0061603.01)

MORE DETAILED DE SCRIPTION

Figures 1-7 and the discussion below provides an overview
of some aspects of features provided by this invention. Following
this overview is a more technical "detail description" of example
embodiments in accordance with the invention.

Overview

Figure 1 shows a "Virtual Distribution Environment"
("VDE") 100 that may be provided in accordance with this
invention. In Figure 1, an information utility 200 connects to
communications means 202 such as telephone or cable TV lines for
example. Telephone or cable TV lines 202 may be part of an
Vlprtmmc highway" that carries electronic information from place
to place. Lines 202 connect information utility 200 to other people

- 128 -

(0061603.01)

such as for example a consumer 208, an office 210, a video
production studio 204, and a publishing house 214. Each of the
people connected to information utility 200 may be called a a VDE
participant" because they can participate in transactions occurring
within the virtual distribution environment 100.

Almost any sort of transaction you can think of can be
supported by virtual distribution environment 100. A few of many
examples of transactions that can be supported by virtual
distribution environment 100 include:

• home banking and electronic payments;

• electronic legal contracts;

• distribution of "content" such as electronic printed
matter, video, audio, images and computer programs;
and

• secure communication of private information such as
medical records and financial information.

Virtual distribution environment 100 is "virtual" because it
does not require many of the physical "things" that used to be
necessary to protect rights, ensure reliable and predictable
distribution, and ensure proper compensation to content creators
and distributors. For example, in the past, information was
distributed on records or disks that were difficult to copy. In the
past, private or secret content was distributed in sealed envelopes
or locked briefcases delivered by courier. To ensure appropriate

-129-

(0061603.01)

compensation, consumers received goods and services only after
they handed cash over to a seller. Although information utihty
200 may deliver information by transferring physical "things" such
as electronic storage media, the virtual distribution environment
100 facilitates a completely electronic "chain of handling and
control"

VDB Flexibility Supports Transaction*

Information utility 200 flexibly supports many different
kinds of information transactions. Different VDE participants may
define and/or participate in different parts of a transaction.
Information utility 200 may assist with delivering information
about a transaction, or it may be one of the transaction
participants.

For example, the video production studio 204 in the upper
right-hand corner of Figure 1 may create video/television
programs. Video production studio 204 may send these programs
over lines 202, or may use other paths such as satellite link 205
and CD ROM delivery service 216. Video production studio 204
can send the programs directly to consumers 206, 208, 210, or it
can send the programs to information utility 200 which may store
and later send them to the consumers, for example. Consumers
206 208 210 are each capable of receiving and using the
programs created by video production studio 204-assuming, that
is that the video production studio or information utility 200 has

- 130-

(0061603.01)

arranged for these consumers to have appropriate " rules and
controls " (control information) that give the consumers rights to
use the programs.

Even if a consumer has a copy of a video program, she
cannot watch or copy the program unless she has "rules and
controls" that authorize use of the program. She can use the
program only as permitted by the "rules and controls."

For example, video production studio 204 might release a
half-hour exercise video in the hope that as many viewers as
possible will view it. The video production studio 204 wishes to
receive $2.00 per viewing. (Video production studio 204 may,
through information utility 200, make the exercise video available
in "protected" form to all consumers 206, 208, 210. Video
production studio 204 may also provide "rules and controls" for the
video. These "rules and controls" may specify for example:

(1) any consumer who has good credit of at least $2.00
based on a credit account with independent financial
provider 212 (such as Mastercard or VISA) may watch the
video,

(2) virtual distribution environment 100 will "meter" each
time a consumer watches the video, and report usage to
video production studio 204 from time to time, and

- 131-

(0061603.01)

5

(3) financial provider 212 may electronically collect payment
($2.00) from the credit account of each consumer who
watches the video, and transfer these payments to the video
production studio 204.

Information utility 200 allows even a small video production
studio to market videos to consumers and receive compensation for
its efforts. Moreover, the videos can, with appropriate payment to
the video production studio, be made available to other video
10 publishers who may add value and/or act as repackages or

redistributors.

Figure 1 also shows a publishing house 214. Publishing
house 214 may act as a distributor for an author 206. The

15 publishing house 214 may distribute rights to use "content" (such

as computer software, electronic newspapers, the video produced
by publishing house 214, audio, or any other data) to consumers
such as office 210. The use rights may be defined by "rules and
controls'* distributed by publishing house 216. Publishing house

20 216 may distribute these "rules and controls" with the content, but

this is not necessary. Because the content can be used only by
consumers that have the appropriate "rules and controls," content
and its associated "rules and controls" may be distributed at
different times, in different ways, by different VDE participants.

25 The ability of VDE to securely distribute and enforce "rules and

- 132-

(0061603.01)

controls" separately from the content they apply to provides great
advantages.

Use rights distributed by publishing house 214 may, for
example, permit office 210 to make and distribute copies of the
content to its employees. Office 210 may act as a redistributor by
extending a "chain of handling and control" to its employees. The
office 210 may add or modify "rules and controls" (consistent with
the "rules and controls" it receives from publishing house 214) to
provide office-internal control information and mechanisms. For
example, office 210 may set a maximum usage budget for each
individual user and/or group within the office, or it may permit
only specified employees and/or groups to access certain
information.

Figure 1 also shows an information delivery service 216
delivering electronic storage media such as "CD ROM" disks to
consumers 206. Even though the electronic storage media
themselves are not delivered electronically by information utility
200 over lines 202, they are still part of the virtual distribution
environment 100. The electronic storage media may be used to
distribute content, "rules and controls," or other information.

Example of What's Inside Information Utility 200

"Information utility" 200 in Figure 1 can be a collection of
participants that may act as distributors, financial clearinghouses,

- 133 -

(0061603.01)

and administrators. Figure 1A shows an example of what may be
inside one example of information utility 200. Information utility
participants 200a-200g could each be an independent
organization/business. There can be any number of each of
participants 200a-200g. In this example, electronic "switch" 200a
connects internal parts of information utility 200 to each other and
to outside participants, and may also connect outside participants
to one another.

Information utility 200 may include a "transaction
processor" 200b that processes transactions (to transfer electronic
funds, for example) based on requests from participants and/or
report receiver 200e. It may also include a "usage analyst" 200c
that analyzes reported usage information. A "report creator" 200d
may create reports based on usage for example, and may provide
these reports to outside participants and/or to participants within
information utility 200. A "report receiver" 200e may receive
reports such as usage reports from content users. A
"permissioning agent" 200f may distribute "rules and controls"
granting usage or distribution permissions based on a profile of a
consumer's credit worthiness, for example. An administrator 200h
may provide information that keeps the virtual distribution
environment 100 operating properly. A content and message
storage 200g may store information for use by participants within
or outside of information utility 200.

- 134-

(0061603 01)

Example of Distributing 'Content" Using A 'Chain of Handling
and Control*

As explained above, virtual distribution environment 100
can be used to manage almost any sort of transaction. One type of
important transaction that virtual distribution environment 100
may be used to manage is the distribution or communication of
"content" or other important information. Figure 2 more
abstractly shows a "model" of how the Figure 1 virtual distribution
environment 100 may be used to provide a "chain of handling and
control" for distributing content. Each of the blocks in Figure 2
may correspond to one or more of the VDE participants shown in
Figure 1.

In the Figure 2 example, a VDE content creator 102 creates
" content " The content creator 102 may also specify "rules and
controls " for distributing the content. These distribution-related
"rules and controls" can specify who has permission to distribute
the rights to use content, and how many users are allowed to use
the content.

Arrow 104 shows the content creator 102 sending the "rules
and controls" associated with the content to a VDE rights
distributor 106 ("distributor") over an electronic highway 108 (or
by some other path such as an optical disk sent by a delivery
service such as U. S. mail). The content can be distributed over
the same or different path used to send the "rules and controls."

- 135 -

(0061603.01)

The distributor 106 generates her own "rules and controls" that
relate to usage of the content. The usage-related "rules and
controls" may, for example, specify what a user can and can't do
with the content and how much it costs to use the content. These
5 usage-related "rules and controls" must be consistent with the

"rules and controls" specified by content creator 102.

Arrow 110 shows the distributor 106 distributing rights to
use the content by sending the content's "rules and controls" to a
10 cjmtej^user 112 such as a consumer. The content user 112 uses

the content in accordance with the usage-related "rules and
controls."

In this Figure 2 example, information relating to content use
15 is, as shown by arrow 114, reported to a financial clearinghouse

116. Based on this "reporting," the financial clearinghouse 116
may generate a bJU and send it to the content user 112 over a
■vop^c an H navments" network 118. Arrow 120 shows the
content user 112 providing payingnis for content usage to the
20 financial clearinghouse 116. Based on the reports and payments it

receives, the financial clearinghouse 116 may provide reports
and/or payments to the distributor 106. The distributor 106 may,
as shown by arrow 122, provide reports and/or payments to the
content creator 102. The clearinghouse 116 may provide reports
25 and payments directly to the creator 102. Reporting and/or

payments may be done differently. For example, clearinghouse

- 136-

(0061603.01)

116 may directly or through an agent, provide reports and/or
payments to each of VDE content creators 102, and rights
distributor 106, as well as reports to content user 112.

The distributor 106 and the content creator 102 may be the
same person, or they may be different people. For example, a
musical performing group may act as both content creator 102 and
distributor 106 by creating and distributing its own musical
recordings. As another example, a publishing house may act as a
distributor 106 to distribute rights to use works created by an
author content creator 102. Content creators 102 may use a
distributor 106 to efficiently manage the financial end of content
distribution.

The "financial clearinghouse" 116 shown in Figure 2 may
also be a " VDE administrator Financial clearinghouse 116 in its
VDE administrator role sends "administrative* information to the
VDE participants. This administrative information helps to keep
the virtual distribution environment 100 operating properly. The
"VDE administrator* and financial clearinghouse roles may be
performed by different people or companies, and there can be more
than one of each.

More about "Rules and Controls 9

The virtual distribution environment 100 prevents use of
protected information except as permitted by the "rules and

- 137 -

(0061603.01)

controls" (control information). For example, the "rules and
controls" shown in Figure 2 may grant specific individuals or
classes of content users 112 "permission" to use certain content.
They may specify what kinds of content usage are permitted, and
5 what kinds are not. They may specify how content usage is to be

paid for and how much it costs. As another example, "rules and
controls" may require content usage information to be reported
back to the distributor 106 and/or content creator 102.

10 Every VDE participant in "chain of handling and control" is

normally subject to "rules and controls." "Rules and controls"
define the respective rights and obligations of each of the various
VDE participants. "Rules and controls" provide information and
mechanisms that may establish interdependences and
15 relationships between the participants. "Rules and controls" are

flexible, and permit "virtual distribution environment" 100 to
support most "traditional" business transactions. For example:
"Rules and controls" may specify which financial
clearinghouse(s) 116 may process payments,
20 • "Rules and controls" may specify which participant(s)

receive what kind of usage report, and
"Rules and controls" may specify that certain
information is revealed to certain participants, and
that other information is kept secret from them.

25

- 138 -

(0061603.01)

"Rules and controls" may self limit if and how they may be
changed. Often, "rules and controls" specified by one VDE
participant cannot be changed by another VDE participant. For
example, a content user 112 generally can't change "rules and
controls" specified by a distributor 106 that require the user to pay
for content usage at a certain rate. "Rules and controls" may
"persist" as they pass through a "chain of handling and control,"
and may be "inherited" as they are passed down from one VDE
participant to the next.

Depending upon their needs, VDE participants can specify
that their "rules and controls" can be changed under conditions
specified by the same or other "rules and controls." For example,
"rules and controls" specified by the content creator 102 may
permit the distributor 106 to "mark up" the usage price just as
retail stores "mark up" the wholesale price of goods. Figure 2A
shows an example in which certain "rules and controls" persist
unchanged from content creator 102 to content user 112; other
"rules and controls" are modified or deleted by distributor 106; and
still other "rules and controls" are added by the distributor.

"Rules and controls" can be used to protect the content
user's privacy by limiting the information that is reported to other
VDE participants. As one example, "rules and controls" can cause
content usage information to be reported anonymously without
revealing content user identity, or it can reveal only certain

- 139-

(006 1603.0 i)

information to certain participants (for example, information
derived from usage) with appropriate permission, if required. This
ability to securely control what information is revealed and what
VDE participant(s) it is revealed to allows the privacy rights of all
VDE participants to be protected.

"Rules and Contents' Can Be Separately Delivered

As mentioned above, virtual distribution environment 100
"associates" content with corresponding "rules and controls," and
prevents the content from being used or accessed unless a set of
corresponding "rules and controls" is available. The distributor
106 doesn't need to deliver content to control the content's
distribution. The preferred embodiment can securely protect
content by protecting corresponding, usage enabling "rules and
controls" against unauthorized distribution and use.

In some examples, "rules and controls" may travel with the
content they apply to. Virtual distribution environment 100 also
allows "rules and controls" to be delivered separately from content.
Since no one can use or access protected content without
"permission" from corresponding "rules and controls," the
distributor 106 can control use of content that has already been (or
will in the future be) delivered. "Rules and controls" may be
delivered over a path different from the one used for content
delivery. "Rules and controls" may also be delivered at some other
time. The content creator 102 might deliver content to content

- 140-

(0061603 01)

• #

user 112 over the electronic highway 108, or could make the
content available to anyone on the highway. Content may be used
at the time it is delivered, or it may be stored for later use or
reuse.

The virtual distribution environment 100 also allows
payment and reporting means to be delivered separately. For
example, the content user 112 may have a virtual "credit card"
that extends credit (up to a certain limit) to pay for usage of any
content. A "credit transaction" can take place at the user's site
without requiring any "online" connection or further authorization.
This invention can be used to help securely protect the virtual
"credit card" against unauthorized use.

"Rules and Contents* Define Processes

Figure 3 shows an example of an overall process based on
"rules and controls ." It includes an "events" process 402, a meter
process 404, a billing process 406, and a budget process 408. Not
all of the processes shown in Figure 3 will be used for every set of
"rules and controls."

The "events process" 402 detects things that happen
("events") and determines which of those "events" need action by
the other "processes." The "events" may include, for example, a
request to use content or generate a usage permission. Some
events may need additional processing, and others may not.

- 141 -

(0061603.01)

Whether an "event" needs more processing depends on the "rules
and controls" corresponding to the content. For example, a user
who lacks permission will not have her request satisfied ("No Go").
As another example, each user request to turn to a new page of an

5 electronic book may be satisfied ("Go"), but it may not be necessary

to meter, bill or budget those requests. A user who has purchased
a copy of a novel may be permitted to open and read the novel as
many times as she wants to without any further metering, billing
or budgeting. In this simple example, the "event process" 402 may

10 request metering, billing and/or budgeting processes the first time

the user asks to open the protected novel (so the purchase price
can be charged to the user), and treat all later requests to open
the same novel as "insignificant events." Other content (for
example, searching an electronic telephone directory) may require

15 the user to pay a fee for each access.

"Meter" process 404 keeps track of events, and may report
usage to distributor 106 and/or other appropriate VDE
participant(s). Figure 4 shows that process 404 can be based on a
20 number of different factors such as:

(a) type of usage to charge for,

(b) what kind of unit to base charges on,

(c) how much to charge per unit,

-142-

(0061603.01)

•

10

15

20

(d) when to report, and

(e) how to pay.

These factors may be specified by the "rules and controls" that
control the meter process.

Billing process 406 determines how much to charge for

events. It records and reports payment information.

Budget process 408 limits how much content usage is
permitted. For example, budget process 408 may limit the number
of times content may be accessed or copied, or it may limit the
number of pages or other amount of content that can be used
based on, for example, the number of dollars available in a credit
account. Budget process 408 records and reports financial and
other transaction information associated with such limits.

Content may be supplied to the user once these processes
have been successfully performed.

Containers and 'Objects*

Figure 5A shows how the virtual distribution environment
100, in a preferred embodiment, may package information
elements (content) into a " container " 302 so the information can't
be accessed except as provided by its "rules and controls."
Normally, the container 302 is electronic rather than physical.
Electronic container 302 in one example comprises "digital"

- 143-

(0061603.01)

information having a well defined structure. Container 302 and
its contents can be called an "object 300."

The Figure 5A example shows items "within" and enclosed
5 by container 302. However, container 302 may "contain" items

without those items actually being stored within the container.
For example, the container 302 may reference items that are
available elsewhere such as in other containers at remote sites.
Container 302 may reference items available at different times or
10 only during limited times. Some items may be too large to store

within container 302. Items may, for example, be delivered to the
user in the form of a "live feed" of video at a certain time. Even
then, the container 302 "contains" the live feed (by reference) in
this example.

15

20

Container 302 may contain information content 304 in
electronic (such as "digital") form. Information content 304 could
be the text of a novel, a picture, sound such as a musical
performance or a reading, a movie or other video, computer
software, or just about any other kind of electronic information you
can think of. Other types of "objects" 300 (such as "administrative
objects") may contain "administrative" or other information instead
of or in addition to information content 304.

25 In the Figure 5A example, container 302 may also contain

"rules and controls" in the form of:

- 144 -

(0061603.01)

(a) a " permissions record " 808;

(b) "budgets " 308; and

(c) "other methods" 1000.

5 Figure 5B gives some additional detail about permissions

record 808, budgets 308 and other methods 1000. The
"permissions record" 808 specifies the rights associated with the
object 300 such as, for example, who can open the container 302,
who can use the object's contents, who can distribute the object,

10 and what other control mechanisms must be active. For example,

permissions record 808 may specify a user's rights to use,
distribute and/or administer the container 302 and its content.
Permissions record 808 may also specify requirements to be
applied by the budgets 308 and "other methods" 1000.

15 Permissions record 808 may also contain security related

information such as scrambling and descrambling "keys."

"Budgets" 308 shown in Figure 5B are a special type of
"method" 1000 that may specify, among other things, limitations
20 on usage of information content 304, and how usage will be paid

for. Budgets 308 can specify, for example, how much of the total
information content 304 can be used and/or copied. The methods
310 may prevent use of more than the amount specified by a
specific budget.

- 145 -

(0061603.01)

-Other methods" 1000 define basic operations used by "rules
and controls." Such "methods" 1000 may include, for example,
how usage is to be "metered," if and how content 304 and other
information is to be scrambled and descrambled, and other

5 processes associated with handling and controlling information

content 304. For example, methods 1000 may record the identity
of anyone who opens the electronic container 302, and can also
control how information content is to be charged based on
"metering." Methods 1000 may apply to one or several different

10 information contents 304 and associated containers 302, as well as

to all or specific portions of information content 304.

Secure Processing Unit (SPU)

The "VDE participants" may each have an " electronic
15 appliance ." The appliance may be or contain a computer. The

appliances may communicate over the electronic highway 108.

Figure 6 shows a — ™- pressing unit ("SPU") 500 portion of the

"electronic appliance" used in this example by each VDE

participant. SPU 500 processes information in a secure processing
20 pnvironment 503, and stores important information securely. SPU

500 may be emulated by software operating in a host electronic

appliance.

SPU 500 is enclosed within and protected by a " tamper
25 ^ctcnt ««mrit.v barrier " 502. Security barrier 502 separates the

secure environment 503 from the rest of the world. It prevents

- 146-

(0061603.01)

information and processes within the secure environment 503 from
being observed, interfered with and leaving except under
appropriate secure conditions. Barrier 502 also controls external
access to secure resources, processes and information within SPU
5 500. In one example, tamper resistant security barrier 502 is

formed by security features such as "encryption," and hardware
that detects tampering and/or destroys sensitive information
within secure environment 503 when tampering is detected.

10 SPU 500 in this example is an integrated circuit ("IC")

"chip" 504 including " hardware" 506 and "firmware" 508. SPU 500
connects to the rest of the electronic appliance through an
" apnliance link " 510. SPU "firmware" 508 in this example is
"software" such as a "computer program(s)" "embedded" within

15 chip 504. Firmware 508 makes the hardware 506 work.

Hardware 506 preferably contains a processor to perform
instructions specified by firmware 508. "Hardware" 506 also
contains long-term and short-term memories to store information
securely so it can't be tampered with. SPU 500 may also have a

20 protected clock/calendar used for timing events. The SPU

hardware 506 in this example may include special purpose
electronic circuits that are specially designed to perform certain
processes (such as "encryption" and "decryption") rapidly and
efficiently.

25

. (0061603.01)

The particular context in which SPU 500 is being used will
determine how much processing capabilities SPU 500 should have.
SPU hardware 506, in this example, provides at least enough
processing capabilities to support the secure parts of processes
shown in Figure 3. In some contexts, the functions of SPU 500
may be increased so the SPU can perform all the electronic
appliance processing, and can be incorporated into a general
purpose processor. In other contexts, SPU 500 may work
alongside a general purpose processor, and therefore only needs to
have enough processing capabilities to handle secure processes.

VDE Electronic Appliance and -Rights Operating System"

Figure 7 shows an example of an electronic appliance 600
including SPU 500. Electronic appliance 600 may be practically
any kind of electrical or electronic device, such as:

• a computer

a T.V. "set top" control box

• a pager

• a telephone

• a sound system

a video reproduction system
a video game player
a "smart" credit card

- 148 -

(0061603.01)

Electronic appliance 600 in this example may include a keyboard
or keypad 612, a voice recognizer 613, and a display 614. A
human user can input commands through keyboard 612 and/or
voice recognizer 613, and may view information on display 614.
5 Appliance 600 may communicate with the outside world through

any of the connections/devices normally used within an electronic
appliance. The connections/devices shown along the bottom of the
drawing are examples:

a "modem" 618 or other telecommunications link;
10 a CD ROM disk 620 or other storage medium or device;

a printer 622;

broadcast reception 624;

a document scanner 626; and

a "cable" 628 connecting the appliance with a "network."

15

Virtual distribution environment 100 provides a "rights
operating system" 602 that manages appliance 600 and SPU 500
by controlling their hardware resources. The operating system 602
may also support at least one " application " 608. Generally,

20 "application" 608 is hardware and/or software specific to the

context of appliance 600. For example, if appliance 600 is a
personal computer, then "application" 608 could be a program
loaded by the user, for instance, a word processor, a
communications system or a sound recorder. If appliance 600 is a

25 television controller box, then application 608 might be hardware

or software that allows a user to order videos on demand and

- 149 -

(0061603.01)

perform other functions such as fast forward and rewind. In this
example, operating system 602 provides a standardized, well
defined, generalized "interface" that could support and work with
many different "applications" 608.

Operating system 602 in this example provides "rights and
auditing operating system functions " 604 and "other operating
system functions" 606. The "rights and auditing operating system
functions" 604 securely handle tasks that relate to virtual
distribution environment 100. SPU 500 provides or supports
many of the security functions of the "rights and auditing
operating system functions" 402. The "other operating system
functions" 606 handle general appliance functions. Overall
operating system 602 may be designed from the beginning to
include the "rights and auditing operating system functions" 604
plus the "other operating system functions" 606, or the "rights and
auditing operating system functions" may be an add-on to a
preexisting operating system providing the "other operating
system functions."

"Rights operating system" 602 in this example can work
with many different types of appliances 600. For example, it can
work with large mainframe computers, "minicomputers" and
"microcomputers" such as personal computers and portable
computing devices. It can also work in control boxes on the top of
television sets, small portable "pagers," desktop radios, stereo

- 150-

(0061603.01)

sound systems, telephones, telephone switches, or any other
electronic appliance. This ability to work on big appliances as well
as little appliances is called "scalable." A "scalable" operating
system 602 means that there can be a standardized interface
across many different appliances performing a wide variety of
tasks.

The "rights operating system functions" 604 are "services-
based" in this example. For example, "rights operating system
functions" 604 handle summary requests from application 608
rather than requiring the application to always make more
detailed "subrequests" or otherwise get involved with the
underlying complexities involved in satisfying a summary request.
For example, application 608 may simply ask to read specified
information; "rights operating system functions" 604 can then
decide whether the desired information is VDE-protected content
and, if it is, perform processes needed to make the information
available. This feature is called "transparency." "Transparency"
makes tasks easy for the application 608. "Rights operating
system functions" 604 can support applications 608 that "know"
nothing about virtual distribution environment 100. Applications
608 that are "aware" of virtual distribution environment 100 may
be able to make more detailed use of virtual distribution
environment 100.

- 151 -

(0061603.01)

In this example, "rights operating system functions" 604 are
-event driven-. Rather than repeatedly examining the state of
electronic appliance 600 to determine whether a condition has
arisen, the "rights operating system functions" 604 may respond
directly to "events" or "happenings" within appliance 600.

In this example, some of the services performed by "rights
operating system functions" 604 may be extended based on
additional "components" delivered to operating system 602.
"Rights operating system functions" 604 can collect together and
use "components" sent by different participants at different times.
The "components" help to make the operating system 602
"scalable." Some components can change how services work on
little appliances versus how they work on big appliances (e.g.,
multi-user). Other components are designed to work with specific
applications or classes of applications (e.g., some types of meters
and some types of budgets).

Electronic Appliance 600

An electronic appliance 600 provided by the preferred
embodiment may, for example, be any electronic apparatus that
contains one or more microprocessors and/or microcontrollers
and/or other devices which perform logical and/or mathematical
calculations. This may include computers; computer terminals;
device controllers for use with computers; peripheral devices for
use with computers; digital display devices; televisions; video and

. 152-

(0061603 01)

audio/video projection systems; channel selectors and/or decoders
for use with broadcast and/or cable transmissions; remote control
devices; video and/or audio recorders; media players including
compact disc players, videodisc players and tape players; audio

5 and/or video amplifiers; virtual reality machines; electronic game

players; multimedia players; radios; telephones; videophones;
facsimile machines; robots; numerically controlled machines
including machine tools and the like; and other devices containing
one or more microcomputers and/or microcontrollers and/or other

10 CPUs, including those not yet in existence.

Figure 8 shows an example of an electronic appliance 600.
This example of electronic appliance 600 includes a system bus
653. In this example, one or more conventional general purpose

15 central processing units ("CPUs") 654 are connected to bus 653.

Bus 653 connects CPU(s) 654 to RAM 656, ROM 658, and I/O
controller 660. One or more SPUs 500 may also be connected to
system bus 653. System bus 653 may permit SPU(s) 500 to
communicate with CPU(s) 654, and also may allow both the

20 CPU(s) and the SPU(s) to communicate (e.g., over shared address

and data lines) with RAM 656, ROM 658 and I/O controller 660. A
power supply 659 may provide power to SPU 500, CPU 654 and
the other system components shown.

25 In the example shown, I/O controller 660 is connected to

secondary storage device 652, a keyboard/display 612,614, a

- 153 -

(0061603.01)

communications controller 666, and a backup storage device 668.
Backup storage device 668 may, for example, store information on
mass media such as a tape 670, a floppy disk, a removable
memory card, etc. Communications controller 666 may allow
electronic appliance 600 to communicate with other electronic
appliances via network 672 or other telecommunications links.
Different electronic appliances 600 may interoperate even if they
use different CPUs and different instances of ROS 602, so long as
they typically use compatible communication protocols and/or
security methods. In this example, I/O controller 660 permits CPU
654 and SPU 500 to read from and write to secondary storage
662, keyboard/display 612, 614, communications controller 666,
and backup storage device 668.

Secondary storage 662 may comprise the same one or more
non-secure secondary storage devices (such as a magnetic disk and
a CD-ROM drive as one example) that electronic appliance 600
uses for general secondary storage functions. In some
implementations, part or all of secondary storage 652 may
comprise a secondary storage device(s) that is physically enclosed
within a secure enclosure. However, since it may not be practical
or cost-effective to physically secure secondary storage 652 in
many implementations, secondary storage 652 may be used to
store information in a secure manner by encrypting information
before storing it in secondary storage 652. If information is
encrypted before it is stored, physical access to secondary storage

- 154-

(0061603.01)

652 or its contents does not readily reveal or compromise the
information.

Secondary storage 652 in this example stores code and data
5 used by CPU 654 and/or SPU 500 to control the overall operation

of electronic appliance 600. For example, Figure 8 shows that
"Rights Operating System" ("ROS") 602 (including a portion 604 of
ROS that provides VDE functions and a portion 606 that provides
other OS functions) shown in Figure 7 may be stored on secondary

10 storage 652. Secondary storage 652 may also store one or more

VDE objects 300. Figure 8 also shows that the secure files 610
shown in Figure 7 may be stored on secondary storage 652 in the
form of a "secure database" or management file system 610. This
secure database 610 may store and organize information used by

15 ROS 602 to perform VDE functions 604. Thus, the code that is

executed to perform VDE and other OS functions 604, 606, and
secure files 610 (as well as VDE objects 300) associated with those
functions may be stored in secondary storage 652. Secondary
storage 652 may also store "other information" 673 such as, for

20 example, information used by other operating system functions

606 for task management, non-VDE files, etc. Portions of the
elements indicated in secondary storage 652 may also be stored in
ROM 658, so long as those elements do not require changes
(except when ROM 658 is replaced). Portions of ROS 602 in

25 particular may desirably be included in ROM 658 (e.g., "bootstrap"

- 155 -

(0061603.01)

routines, POST routines, etc. for use in establishing an operating
environment for electronic appliance 600 when power is apphed).

Figure 8 shows that secondary storage 652 may also be used
to store code ("application programs") providing user application(s)
608 shown in Figure 7. Figure 8 shows that there may be two
general types of application programs 608: "VDE aware-
applications 608a, and Non-VDE aware applications 608b. VDE
aware applications 608a may have been at least in part designed
specifically with VDE 100 in mind to access and take detailed
advantage of VDE functions 604. Because of the "transparency-
features of ROS 602, non-VDE aware applications 608b (e.g.,
applications not specifically designed for VDE 100) can also access
and take advantage of VDE functions 604.

SECURE PROCESSING UNIT 500

Each VDE node or other electronic appliance 600 in the
preferred embodiment may include one or more SPUs 500. SPUs
500 may be used to perform all secure processing for VDE 100.
For example, SPU 500 is used for decrypting (or otherwise
unsecuring) VDE protected objects 300. It is also used for
managing encrypted and/or otherwise secured communication
(such as by employing authentication and/or error-correction
validation of information). SPU 500 may also perform secure data
management processes including governing usage of, auditing of,
and where appropriate, payment for VDE objects 300 (through the

-156-

(0061603.01)

use of prepayments, credits, real-time electronic debits from bank
accounts and/or VDE node currency token deposit accounts). SPU
500 may perform other transactions related to such VDE objects
300.

5

SPU Physical Packaging and Security Barrier 502

As shown Figure 6, in the preferred embodiment, an SPU
500 may be implemented as a single integrated circuit "chip" 505
to provide a secure processing environment in which confidential

10 and/or commercially valuable information can be safely processed,

encrypted and/or decrypted. IC chip 505 may, for example,
comprise a small semiconductor "die" about the size of a
thumbnail. This semiconductor die may include semiconductor
and metal conductive pathways. These pathways define the

15 circuitry, and thus the functionality, of SPU 500. Some of these

pathways are electrically connected to the external "pins" 504 of
the chip 505.

As shown in Figures 6 and 9, SPU 500 may be surrounded
20 by a tamper-resistant hardware security barrier 502. Part of this

security barrier 502 is formed by a plastic or other package in
which an SPU "die" is encased. Because the processing occurring
within, and information stored by, SPU 500 are not easily
accessible to the outside world, they are relatively secure from
25 unauthorized access and tampering. All signals cross barrier 502

through a secure, controlled path provided by BIU 530 that

- 157 -

(0061603.01)

restricts the outside world's access to the internal components
within SPU 500. This secure, controlled path resists attempts
from the outside world to access secret information and resources
within SPU 500.

It is possible to remove the plastic package of an IC chip and
gain access to the "die." It is also possible to analyze and "reverse
engineer" the "die" itself (e.g., using various types of logic
analyzers and microprobes to collect and analyze signals on the die
while the circuitry is operating, using acid etching or other
techniques to remove semiconductor layers to expose other layers,
viewing and photographing the die using an electron microscope,
etc.) Although no system or circuit is absolutely impervious to
such attacks, SPU barrier 502 may include additional hardware
protections that make successful attacks exceedingly costly and
time consuming. For example, ion implantation and/or other
fabrication techniques may be used to make it very difficult to
visually discern SPU die conductive pathways, and SPU internal
circuitry may be fabricated in such a way that it "self-destructs"
when exposed to air and/or light. SPU 500 may store secret
information in internal memory that loses its contents when power
is lost. Circuitry may be incorporated within SPU 500 that detects
microprobing or other tampering, and self-destructs (or destroys
other parts of the SPU) when tampering is detected. These and
other hardware-based physical security techniques contribute to
tamper-resistant hardware security barrier 502.

-158-

(0061603.01)

To increase the security of security barrier 502 even further,
it is possible to encase or include SPU 500 in one or more further
physical enclosures such as, for example: epoxy or other "potting
compound"; further module enclosures including additional self-
5 destruct, self-disabling or other features activated when tampering

is detected; further modules providing additional security
protections such as requiring password or other authentication to
operate; and the like. In addition, further layers of metal may be
added to the die to complicate acid etching, micro probing, and the

10 like; circuitry designed to "zeroize" memory may be included as an

aspect of self-destruct processes; the plastic package itself may be
designed to resist chemical as well as physical "attacks"; and
memories internal to SPU 500 may have specialized addressing
and refresh circuitry that "shuffles" the location of bits to

15 complicate efforts to electrically determine the value of memory

locations. These and other techniques may contribute to the
security of barrier 502.

In some electronic appliances 600, SPU 500 may be
20 integrated together with the device microcontroller or equivalent

or with a device I/O or communications microcontroller into a
common chip (or chip set) 505. For example, in one preferred
embodiment, SPU 500 may be integrated together with one or
more other CPU(s) (e.g., a CPU 654 of an electronic appliance) in a
25 single component or package. The other CPU(s) 654 may be any

centrally controlling logic arrangement, such as for example, a

-159-

(0061603.01)

microprocessor, other microcontroller, and/or array or other
parallel processor. This integrated configuration may result in
lower overall cost, smaller overall size, and potentially faster
interaction between an SPU 500 and a CPU 654. Integration may
also provide wider distribution if an integrated SPU/CPU
component is a standard feature of a widely distributed
microprocessor line. Merging an SPU 500 into a main CPU 654 of
an electronic appliance 600 (or into another appliance or appliance
peripheral microcomputer or other microcontroller) may
substantially reduce the overhead cost of implementing VDE 100.
Integration considerations may include cost of implementation,
cost of manufacture, desired degree of security, and value of
compactness.

SPU 500 may also be integrated with devices other than
CPUs. For example, for video and multimedia applications, some
performance and/or security advantages (depending on overall
design) could result from integrating an SPU 500 into a video
controller chip or chipset. SPU 500 can also be integrated directly
into a network communications chip or chipset or the like. Certain
performance advantages in high speed communications
applications may also result from integrating an SPU 500 with a
modem chip or chipset. This may facilitate incorporation of an
SPU 500 into communication appliances such as stand-alone fax
machines. SPU 500 may also be integrated into other peripheral
devices, such as CD-ROM devices, set-top cable devices, game

- 160-

(0061603.01)

devices, and a wide variety of other electronic appliances that use,
allow access to, perform transactions related to, or consume,
distributed information.

5 SPU 500 Internal Architecture

Figure 9 is a detailed diagram of the internal structure
within an example of SPU 500. SPU 500 in this example includes
a single microprocessor 520 and a limited amount of memory
configured as ROM 532 and RAM 534. In more detail, this

10 example of SPU 500 includes microprocessor 520, an

encrypt/decrypt engine 522, a DMA controller 526, a real-time
clock 528, a bus interface unit ("BIU") 530, a read only memory
(ROM) 532, a random access memory (RAM) 534, and a memory
management unit CMMU") 540. DMA controller 526 and MMU

15 540 are optional, but the performance of SPU 500 may suffer if

they are not present. SPU 500 may also include an optional
pattern matching engine 524, an optional random number
generator 542, an optional arithmetic accelerator circuit 544, and
optional compression/decompression circuit 546. A shared

20 address/data bus arrangement 536 may transfer information

between these various components under control of microprocessor
520 and/or DMA controller 526. Additional or alternate dedicated
paths 538 may connect microprocessor 520 to the other
components (e.g., encrypt/decrypt engine 522 via line 538a, real-

25 time clock 528 via line 538b, bus interface unit 530 via line 538c,

- 161 -

(0061603 01)

DMA controller via line 538d, and memory management unit
(MMU) 540 via line 538e).

The following section discusses each of these SPU
components in more detail.

Microprocessor 620

Microprocessor 520 is the "brain" of SPU 500. In this
example, it executes a sequence of steps specified by code stored
(at least temporarily) within ROM 532 and/or RAM 534.
Microprocessor 520 in the preferred embodiment comprises a
dedicated central processing arrangement (e.g., a RISC and/or
CISC processor unit, a microcontroller, and/or other central
processing means or, less desirably in most applications, process
specific dedicated control logic) for executing instructions stored in
the ROM 532 and/or other memory. Microprocessor 520 may be
separate elements of a circuitry layout, or may be separate
packages within a secure SPU 500.

In the preferred embodiment, microprocessor 520 normally
handles the most security sensitive aspects of the operation of
electronic appliance 600. For example, microprocessor 520 may
manage VDE decrypting, encrypting, certain content and/or
appliance usage control information, keeping track of usage of
VDE secured content, and other VDE usage control related
functions.

- 162-

(0061603.01)

Stored in each SPU 500 and/or electronic appliance
secondary memory 652 may be, for example, an instance of ROS
602 software, application programs 608, objects 300 containing
VDE controlled property content and related information, and
management database 610 that stores both information associated
with objects and VDE control information. ROS 602 includes
software intended for execution by SPU microprocessor 520 for, in
part, controlling usage of VDE related objects 300 by electronic
appliance 600. As will be explained, these SPU programs include
"load modules" for performing basic control functions. These
various programs and associated data are executed and
manipulated primarily by microprocessor 520.

Real Time Clock (ETC) 628

In the preferred embodiment, SPU 500 includes a real time
clock circuit ("RTC") 528 that serves as a reliable, tamper resistant
time base for the SPU. RTC 528 keeps track of time of day and
date (e.g., month, day and year) in the preferred embodiment, and
thus may comprise a combination calendar and clock. A reliable
time base is important for implementing time based usage
metering methods, "time aged decryption keys," and other time
based SPU functions.

The RTC 528 must receive power in order to operate.
Optimally, the RTC 528 power source could comprise a small
battery located within SPU 500 or other secure enclosure.

- 163 -

(0061603.01)

However, the RTC 528 may employ a power source such as an
externally located battery that is external to the SPU 500. Such
an externally located battery may provide relatively uninterrupted
power to RTC 528, and may also maintain as non-volatile at least
a portion of the otherwise volatile RAM 534 within SPU 500.

In one implementation, electronic appliance power supply
659 is also used to power SPU 500. Using any external power
supply as the only power source for RTC 528 may significantly
reduce the usefulness of time based security techniques unless, at
minimum, SPU 500 recognizes any interruption (or any material
interruption) of the supply of external power, records such
interruption, and responds as may be appropriate such as
disabling the ability of the SPU 500 to perform certain or all VDE
processes. Recognizing a power interruption may, for example, be
accomplished by employing a circuit which is activated by power
failure. The power failure sensing circuit may power another
circuit that includes associated logic for recording one or more
power fail events. Capacitor discharge circuitry may provide the
necessary temporary power to operate this logic. In addition or
alternatively, SPU 500 may from time to time compare an output
of RTC 528 to a clock output of a host electronic appliance 600, if
available. In the event a discrepancy is detected, SPU 500 may
respond as appropriate, including recording the discrepancy and/or
disabling at least some portion of processes performed by SPU 500
under at least some circumstances.

- 164 -

(0061603.01)

If a power failure and/or RTC 528 discrepancy and/or other
event indicates the possibility of tampering, SPU 500 may
automatically destroy, or render inaccessible without privileged
intervention, one or more portions of sensitive information it

5 stores, such as execution related information and/or encryption key

related information. To provide further SPU operation, such
destroyed information would have to be replaced by a VDE
clearinghouse, administrator and/or distributor, as may be
appropriate. This may be achieved by remotely downloading

10 update and/or replacement data and/or code. In the event of a

disabling and/or destruction of processes and/or information as
described above, the electronic appliance 600 may require a secure
VDE communication with an administrator, clearinghouse, and/or
distributor as appropriate in order to reinitialize the RTC 528.

15 Some or all secure SPU 500 processes may not operate until then.

It may be desirable to provide a mechanism for setting
and/or synchronizing RTC 528. In the preferred embodiment,
when communication occurs between VDE electronic appliance 600

20 and another VDE appliance, an output of RTC 528 may be

compared to a controlled RTC 528 output time under control of the
party authorized to be "senior" and controlling. In the event of a
discrepancy, appropriate action may be taken, including resetting
the RTC 528 of the "junior" controlled participant in the

25 communication.

- 165 -

(0061603.01)

SPU Encrypt/Decrypt Engine 522

In the preferred embodiment, SPU encrypt/decrypt engine
522 provides special purpose hardware (e.g., a hardware state
machine) for rapidly and efficiently encrypting and/or decrypting
data. In some implementations, the encrypt/decrypt functions may
be performed instead by microprocessor 520 under software
control, but providing special purpose encrypt/decrypt hardware
engine 522 will, in general, provide increased performance.
Microprocessor 520 may, if desired, comprise a combination of
processor circuitry and dedicated encryption/decryption logic that
may be integrated together in the same circuitry layout so as to,
for example, optimally share one or more circuit elements.

Generally, it is preferable that a computationally efficient
but highly secure "bulk" encryption/decryption technique should be
used to protect most of the data and objects handled by SPU 500.
It is preferable that an extremely secure encryption/decryption
technique be used as an aspect of authenticating the identity of
electronic appliances 600 that are establishing a communication
channel and securing any transferred permission, method, and
administrative information. In the preferred embodiment, the
encrypt/decrypt engine 522 includes both a symmetric key
encryption/decryption circuit (e.g. DES, Skipjack/Clipper, IDEA,
RC-2, RC-4, etc.) and an antisymmetric (asymmetric) or Public Key
CPK") encryption/decryption circuit. The public/private key
encryption/decryption circuit is used principally as an aspect of

- 166 -

(0061603.01)

secure communications between an SPU 500 and VDE
administrators, or other electronic appliances 600, that is between
VDE secure subsystems. A symmetric encryption/decryption
circuit may be used for ''bulk" encrypting and decrypting most data
5 stored in secondary storage 662 of electronic appliance 600 in

which SPU 500 resides. The symmetric key encryption/decryption
circuit may also be used for encrypting and decrypting content
stored within VDE objects 300.

DES or public/private key methods may be used for all
encryption functions. In alternate embodiments, encryption and
decryption methods other than the DES and public/private key
methods could be used for the various encryption related functions.
For instance, other types of symmetric encryption/decryption
techniques in which the same key is used for encryption and
decryption could be used in place of DES encryption and
decryption. The preferred embodiment can support a plurality of
decryption/encryption techniques using multiple dedicated circuits
within encrypt/decrypt engine 522 and/or the processing
arrangement within SPU 500.

Pattern Matching Engine 524

Optional pattern matching engine 524 may provide special
purpose hardware for performing pattern matching functions. One
25 of the functions SPU 500 may perform is to validate/authenticate

VDE objects 300 and other items. Validation/authentication often

10

15

20

-167-

(0061603.01)

involves comparing long data strings to determine whether they
compare in a predetermined way. In addition, certain forms of
usage (such as logical and/or physical (contiguous) relatedness of
accessed elements) may require searching potentially long strings
5 of data for certain bit patterns or other significant pattern related

metrics. Although pattern matching can be performed by SPU
microprocessor 520 under software control, providing special
purpose hardware pattern matching engine 524 may speed up the
pattern matching process.

10

Compression/Decompression Engine 546

An optional compression/decompression engine 546 may be
provided within an SPU 500 to, for example, compress and/or
decompress content stored in, or released from, VDE objects 300.

15 Compression/decompression engine 546 may implement one or

more compression algorithms using hardware circuitry to improve
the performance of compression/decompression operations that
would otherwise be performed by software operating on
microprocessor 520, or outside SPU 500. Decompression is

20 important in the release of data such as video and audio that is

usually compressed before distribution and whose decompression
speed is important. In some cases, information that is useful for
usage monitoring purposes (such as record separators or other
delimiters) is "hidden" under a compression layer that must be

25 removed before this information can be detected and used inside

SPU 500.

- 168 -

(0061603 01)

Random Number Generator 542

Optional random number generator 542 may provide
specialized hardware circuitry for generating random values (e.g.,
from inherently unpredictable physical processes such as quantum

5 noise). Such random values are particularly useful for

constructing encryption keys or unique identifiers, and for
initializing the generation of pseudo-random sequences. Random
number generator 542 may produce values of any convenient
length, including as small as a single bit per use. A random

10 number of arbitrary size may be constructed by concatenating

values produced by random number generator 542. A
cryptographically strong pseudo-random sequence may be
generated from a random key and seed generated with random
number generator 542 and repeated encryption either with the

15 encrypt/decrypt engine 522 or cryptographic algorithms in SPU

500. Such sequences may be used, for example, in private headers
to frustrate efforts to determine an encryption key through
cryptoanalysis.

20 Arithmetic Accelerator 544

An optional arithmetic accelerator 544 may be provided
within an SPU 500 in the form of hardware circuitry that can
rapidly perform mathematical calculations such as multiplication
and exponentiation involving large numbers. These calculations
25 can, for example, be requested by microprocessor 520 or

encrypt/decrypt engine 522, to assist in the computations required

- 169 -

(0061603.01)

for certain asymmetric encryption/decryption operates. Such
arithmetic accelerators are well-known to those skilled in the art.
to some implementations, a separate arithmetic accelerator 544
m ay be omitted and any necessary calculations may be performed
by microprocessor 520 under software control.

DMA Controller 626

DMA controller 526 controls information transfers over
address/data bus 536 without requiring microprocessor 520 to
process each individual data transfer. Typically, microprocessor
520 may write to DMA controller 526 target and destmahon
addresses and the number of bytes to transfer, and DMA controller
526 may then automatically transfer a block of data between
components of SPU 500 (e.g.. from ROM 532 to RAM 534. between
encrypt/decrypt engine 522 and RAM 534. between bus interface
unit 530 and RAM 534, etc.). DMA controller 526 may have
multiple channels to handle multiple transfers simultaneously. In
some implementations, a separate DMA controller 526 may be
omitted, and any necessary data movements may be performed by
microprocessor 520 under software control.

Bus Interface Unit (BIO) 630

Bus interface unit (BIU) 530 communicates information
between SPU 500 and the outside world across the security bamer
502. BIU 530 shown in Figure 9 plus appropriate driver software
may comprise the "appliance link" 510 shown in Figure 6. Bus

-170-

(0061603 01)

interface unit 530 may be modelled after a USART or PCI bus
interface in the preferred embodiment. In this example, BIU 530
connects SPU 500 to electronic appliance system bus 653 shown in
Figure 8. BIU 530 is designed to prevent unauthorized access to
internal components within SPU 500 and their contents. It does
this by only allowing signals associated with an SPU 500 to be
processed by control programs running on microprocessor 520 and
not supporting direct access to the internal elements of an SPU

Memory Management Unit 540

Memory Management Unit (MMU) 540, if present, provides
hardware support for memory management and virtual memory
management functions. It may also provide heightened security
by enforcing hardware compartmentalization of the secure
execution space (e.g., to prevent a less trusted task from modifying
a more trusted task). More details are provided below in
connection with a discussion of the architecture of a Secure
Processing Environment CSPE a ) 503 supported by SPU 500.

MMU 540 may also provide hardware-level support
functions related to memory management such as, for example,
address mapping.

SPU Memory Architecture

500.

- 171 -

(0061603.01)

In the preferred embodiment, SPU 500 uses three general

kinds of memory:

(1) internal ROM 532;

(2) internal RAM 534; and

5 (3) external memory (typically RAM and/or disk supplied by

a host electronic appliance).

The internal ROM 532 and RAM 534 within SPU 500
provide a secure operating environment and execution space.
10 Because of cost limitations, chip fabrication size, complexity and

other limitations, it may not be possible to provide sufficient
memory within SPU 500 to store all information that an SPU
needs to process in a secure manner. Due to the practical limits
on the amount of ROM 532 and RAM 534 that may be included
15 within SPU 500, SPU 500 may store information in memory

external to it, and move this information into and out of its secure
internal memory space on an as needed basis. In these cases,
secure processing steps performed by an SPU typically must be
segmented into small, securely packaged elements that may be
20 "paged in" and "paged out" of the limited available internal

memory space. Memory external to an SPU 500 may not be
secure. Since the external memory may not be secure, SPU 500
may encrypt and cryptographically seal code and other information
before storing it in external memory. Similarly, SPU 500 must
25 typically decrypt code and other information obtained from

external memory in encrypted form before processing (e.g.,

. (0061603.01)

• #

In the preferred embodiment, ROM 532 may comprise a
combination of a masked ROM 532a and an EEPROM and/or
equivalent "flash" memory 532b. EEPROM or flash memory 532b
is used to store items that need to be updated and/or initialized,
such as for example, certain encryption keys. An additional
benefit of providing EEPROM and/or flash memory 532b is the
ability to optimize any load modules and library functions
persistently stored within SPU 500 based on typical usage at a
specific site. Although these items could also be stored in
NVRAM 534b, EEPROM and/or flash memory 532b may be more
cost effective.

Masked ROM 532a may cost less than flash and/or
EEPROM 532b, and can be used to store permanent portions of
SPU software/firmware. Such permanent portions may include,
for example, code that interfaces to hardware elements such as the
RTC 528, encryption/decryption engine 522, interrupt handlers,
key generators, etc. Some of the operating system, library calls,
libraries, and many of the core services provided by SPU 500 may
also be in masked ROM 532a. In addition, some of the more
commonly used executables are also good candidates for inclusion
in masked ROM 532a. Items that need to be updated or that need
to disappear when power is removed from SPU 500 should not be
stored in masked ROM 532a.

- 174 -

(0061603.01)

*

executing) based on it. In the preferred embodiment, there are
two general approaches used to address potential memory
limitations in a SPU 500. In the first case, the small, securely
packaged elements represent information contained in secure
5 database 610. In the second case, such elements may represent

protected (e.g., encrypted) virtual memory pages. Although virtual
memory pages may correspond to information elements stored in
secure database 610, this is not required in this example of a SPU
memory architecture.

10

The following is a more detailed discussion of each of these
three SPU memory resources.

SPU Internal ROM

15 SPU 500 read only memory (ROM) 532 or comparable

purpose device provides secure internal non-volatile storage for
certain programs and other information. For example, ROM 532
may store "kernel" programs such as SPU control firmware 508
and, if desired, encryption key information and certain

20 fundamental "load modules." The "kernel" programs, load module

information, and encryption key information enable the control of
certain basic functions of the SPU 500. Those components that
are at least in part dependent on device configuration (e.g., POST,
memory allocation, and a dispatcher) may be loaded in ROM 532

25 along with additional load modules that have been determined to

be required for specific installations or applications.

- 173-

(0061603.01)

Under some circumstances, RAM 534a and/or NVRAM 534b
(NVRAM 534b may, for example, be constantly powered
conventional RAM) may perform at least part of the role of ROM
532.

5

SPU Internal RAM

SPU 500 general purpose RAM 534 provides, among other
things, secure execution space for secure processes. In the
preferred embodiment, RAM 534 is comprised of different types of
RAM such as a combination of high-speed RAM 534a and an
NVRAM ("non-volatile RAM") 534b. RAM 534a may be volatile,
while NVRAM 534b is preferably battery backed or otherwise
arranged so as to be non-volatile (i.e., it does not lose its contents
when power is turned off).

High-speed RAM 534a stores active code to be executed and
associated data structures.

10

15

NVRAM 534b preferably contains certain keys and summary
20 values that are preloaded as part of an initialization process in

which SPU 500 communicates with a VDE administrator, and may
also store changeable or changing information associated with the
operation of SPU 500. For security reasons, certain highly
sensitive information (e.g., certain load modules and certain
25 encryption key related information such as internally generated

private keys) needs to be loaded into or generated internally by

- 175-

(0061603.01)

SPU 500 from time to time but, once loaded or generated
internally, should never leave the SPU. In this preferred
embodiment, the SPU 500 non-volatile random access memory
(NVRAM) 534b may be used for securely storing such highly
5 sensitive information. NVRAM 534b is also used by SPU 500 to

store data that may change frequently but which preferably should
not be lost in a power down or power fail mode.

NVRAM 534b is preferably a flash memory array, but may
10 in addition or alternatively be electrically erasable programmable

read only memory (EEPROM), static RAM (SRAM), bubble
memory, three dimensional holographic or other electro-optical
memory, or the like, or any other writable (e.g., randomly
accessible) non-volatile memory of sufficient speed and
15 cost-effectiveness.

SPU External Memory

The SPU 500 can store certain information on memory
devices external to the SPU. If available, electronic appliance 600

20 memory can also be used to support any device external portions

of SPU 500 software. Certain advantages may be gained by
allowing the SPU 500 to use external memory. As one example,
memory internal to SPU 500 may be reduced in size by using
non-volatile read/write memory in the host electronic appliance

25 600 such as a non-volatile portion of RAM 656 and/or ROM 658.

- 176 -

(0061603.0V)

Such external memory may be used to store SPU programs,
data and/or other information. For example, a VDE control
program may be, at least in part, loaded into the memory and
communicated to and decrypted within SPU 500 prior to execution.
5 Such control programs may be re-encrypted and communicated

back to external memory where they may be stored for later
execution by SPU 500. "Kernel" programs and/or some or all of
the non-kernel "load modules" may be stored by SPU 500 in
memory external to it. Since a secure database 610 may be
10 relatively large, SPU 500 can store some or all of secure database

610 in external memory and call portions into the SPU 500 as
needed.

As mentioned above, memory external to SPU 500 may not
15 be secure. Therefore, when security is required, SPU 500 must

encrypt secure information before writing it to external memory,
and decrypt secure information read from external memory before
using it. Inasmuch as the encryption layer relies on secure
processes and information (e.g., encryption algorithms and keys)
20 present within SPU 500, the encryption layer effectively "extends"

the SPU security barrier 502 to protect information the SPU 500
stores in memory external to it.

SPU 500 can use a wide variety of different types of external
25 memory. For example, external memory may comprise electronic

appliance secondary storage 652 such as a disk; external EEPROM

- 177 -

(0061603.01)

or flash memory 658; and/or external RAM 656. External RAM
656 may comprise an external nonvolatile (e.g. constantly
powered) RAM and/or cache RAM.

5 Using external RAM local to SPU 500 can significantly

improve access times to information stored externally to an SPU.
For example, external RAM may be used:

to buffer memory image pages and data structures prior to
their storage in flash memory or on an external hard disk
10 (assuming transfer to flash or hard disk can occur in

significant power or system failure cases);
provide encryption and decryption buffers for data being
released from VDE objects 300.

to cache "swap blocks" and VDE data structures currently in
15 use as an aspect of providing a secure virtual memory

environment for SPU 500.

to cache other information in order to, for example, reduce
frequency of access by an SPU to secondary storage 652
and/or for other reasons.
20 Dual ported external RAM can be particularly effective in

improving SPU 500 performance, since it can decrease the data
movement overhead of the SPU bus interface unit 530 and SPU
microprocessor 520.

25

Using external flash memory local to SPU 500 can be used
to significantly improve access times to virtually all data

- 178 -

(0061603 01)

structures. Since most available flash storage devices have limited
write lifetimes, flash storage needs to take into account the
number of writes that will occur during the lifetime of the flash
memory. Hence, flash storage of frequently written temporary
items is not recommended. If external RAM is non-volatile, then
transfer to flash (or hard disk) may not be necessary.

External memory used by SPU 500 may include two
categories:

external memory dedicated to SPU 500, and
• memory shared with electronic appliance 600.

For some VDE implementations, sharing memory (e.g.,
electronic appliance RAM 656, ROM 658 and/or secondary storage
652) with CPU 654 or other elements of an electronic appliance
600 may be the most cost effective way to store VDE secure
database management files 610 and information that needs to be
stored external to SPU 500. A host system hard disk secondary
memory 652 used for general purpose file storage can, for example,
also be used to store VDE management files 610. SPU 500 may be
given exclusive access to the external memory (e.g., over a local
bus high speed connection provided by BIU 530). Both dedicated
and shared external memory may be provided.

******

- 179 -

(0061603.01)

The hardware configuration of an example of electronic
appliance 600 has been described above. The following section
describes an example of the software architecture of electronic
appliance 600 provided by the preferred embodiment, including
5 the structure and operation of preferred embodiment "Rights

Operating System" ("ROS") 602.

Rights Operating System 602

Rights Operating System ("ROS") 602 in the preferred

10 embodiment is a compact, secure, event-driven, services-based,

"component" oriented, distributed multiprocessing operating
system environment that integrates VDE information security
control information, components and protocols with traditional
operating system concepts. Like traditional operating systems,

15 ROS 602 provided by the preferred embodiment is a piece of

software that manages hardware resources of a computer system
and extends management functions to input and/or output devices,
including communications devices. Also like traditional operating
systems, preferred embodiment ROS 602 provides a coherent set of

20 basic functions and abstraction layers for hiding the differences

between, and many of the detailed complexities of, particular
hardware implementations. In addition to these characteristics
found in many or most operating systems, ROS 602 provides
secure VDE transaction management and other advantageous

25 features not found in other operating systems. The following is a

- 180

(0061603.01)

non-exhaustive list of some of the advantageous features provided
by ROS 602 in the preferred embodiment:

Standardized interface provides coherent set of basic functions
5 • simplifies programming

• the same application can run on many different platforms
Event driven

• eases functional decomposition

• extendible

10 • accommodates state transition and/or process oriented

events

• simplifies task management

• simplifies inter-process communications
Services based

15 • allows simplified and transparent scalability

• simplifies multiprocessor support

• hides machine dependencies

• eases network management and support
Component Based Architecture

20 • processing based on independently deliverable secure

components

• component model of processing control allows different
sequential steps that are reconfigurable based on
requirements

25 • components can be added, deleted or modified (subject to

permissioning)

- 181 -

(0061603.01)

10

15

20

full control information over pre-defined and user-defined
application events

events can be individually controlled with independent
executables

Secure

secure communications
secure control functions
secure virtual memory management
information control structures protected from exposure
data elements are validated, correlated and access controlled
components are encrypted and validated independently
components are tightly correlated to prevent unauthorized
use of elements

control structures and secured executables are validated
prior to use to protect against tampering
integrates security considerations at the I/O level
provides on-the-fly decryption of information at release time
enables a secure commercial transaction network
flexible key management features
Scalaeble

25

highly scalaeble across many different platforms
supports concurrent processing in a multiprocessor
environment

supports multiple cooperating processors

any number of host or security processors can be supported

- 182-

(0061603.01)

• control structures and kernel are easily portable to various
host platforms and to different processors within a target
platform without recompilation

• supports remote processing

• Remote Procedure Calls may be used for internal OS
communications

Highly Intecrratable

• can be highly integrated with host platforms as an
additional operating system layer

permits non-secure storage of secured components and
information using an OS layer n on top of traditional OS
platforms

• can be seamlessly integrated with a host operating system to
provide a common usage paradigm for transaction
management and content access

• integration may take many forms: operating system layers
for desktops (e.g., DOS, Windows, Macintosh); device drivers
and operating system interfaces for network services (e.g,
Unix and Netware); and dedicated component drivers for
w low end" set tops are a few of many examples

• can be integrated in traditional and real time operating
systems

Distributed

• provides distribution of control information and reciprocal
control information and mechanisms

- 183 -

(0061603.01)

10

15

20

25

supports conditional execution of controlled processes within
any VDE node in a distributed, asynchronous arrangement
controlled delegation of rights in a distributed environment
supports chains of handling and control
management environment for distributed, occasionally
connected but otherwise asynchronous networked database
real time and time independent data management
supports "agent" processes
Transparent

can be seamlessly integrated into existing operating systems
can support applications not specifically written to use it
Network friendly

internal OS structures may use RPCs to distribute
processing

subnets may seamlessly operate as a single node or
independently

General Background Regarding Operating Systems

An "operating system" provides a control mechanism for
organizing computer system resources that allows programmers to
create applications for computer systems more easily. An
operating system does this by providing commonly used functions,
and by helping to ensure compatibility between different computer
hardware and architectures (which may, for example, be
manufactured by different vendors). Operating systems also
enable computer "peripheral device" manufacturers to far more

- 184 -

(0061603.01)

easily supply compatible equipment to computer manufacturers
and users.

Computer systems are usually made up of several different
hardware components. These hardware components include, for
example:

a central processing unit (CPU) for executing instructions;

an array of main memory ceUs (e.g., "RAM" or "ROM") for
storing instructions for execution and data acted upon or
parameterizing those instructions; and

one or more secondary storage devices (e.g., hard disk drive,
floppy disk drive, CD-ROM drive, tape reader, card reader,
or "flash" memory) organized to reflect named elements (a
"file system") for storing images of main memory cells.
Most computer systems also include input/output devices such as
keyboards, mice, video systems, printers, scanners and
communications devices.

To organize the CPUs execution capabilities with available
RAM, ROM and secondary storage devices, and to provide
commonly used functions for use by programmers, a piece of
software called an "operating system" is usually included with the
other components. Typically, this piece of software is designed to
begin executing after power is applied to the computer system and

- 185-

(0061603.01)

hardware diagnostics are completed. Thereafter, all use of the
CPU, main memory and secondary memory devices is normally
managed by this "operating system" software. Most computer
operating systems also typically include a mechanism for
5 extending their management functions to I/O and other peripheral

devices, including commonly used functions associated with these
devices.

By managing the CPU, memory and peripheral devices
10 through the operating system, a coherent set of basic functions and

abstraction layers for hiding hardware details allows programmers
to more easily create sophisticated applications. In addition,
managing the computer's hardware resources with an operating
system allows many differences in design and equipment
15 requirements between different manufacturers to be hidden.

Furthermore, applications can be more easily shared with other
computer users who have the same operating system, with
significantly less work to support different manufacturers' base
hardware and peripheral devices.

20

ROS 602 is an Operating System Providing Significant Advantages

wns fin? is an " ^prating system." It manages the resources
of electronic appliance 600, and provides a commonly used set of
functions for programmers writing applications 608 for the
25 electronic appliance. ROS 602 in the preferred embodiment

manages the hardware (e.g., CPU(s), memory(ies), secure RTC(s),

- 186-

(0061603.01)

and encrypt/decrypt engines) within SPU 500. ROS may also
manage the hardware (e.g., CPU(s) and memory(ies)) within one or
more general purpose processors within electronic appliance 600.
ROS 602 also manages other electronic appliance hardware
resources, such as peripheral devices attached to an electronic
appliance. For example, referring to Figure 7, ROS 602 may
manage keyboard 612, display 614, modem 618, disk drive 620,
printer 622, scanner 624. ROS 602 may also manage secure
database 610 and a storage device (e.g., "secondary storage" 652)
vised to store secure database 610.

ROS 602 supports multiple processors. ROS 602 in the
preferred embodiment supports any number of local and/or remote
processors. Supported processors may include at least two types:
one or more electronic appliance processors 654, and/or one or
more SPUs 500. A host processor CPU 654 may provide storage,
database, and communications services. SPU 500 may provide
cryptographic and secured process execution services. Diverse
control and execution structures supported by ROS 602 may
require that processing of control information occur within a
controllable execution space - this controllable execution space
may be provided by SPU 500. Additional host and/or SPU
processors may increase efficiencies and/or capabilities. ROS 602
may access, coordinate and/or manage further processors remote to
an electronic appliance 600 (e.g., via network or other

- 187 -

(0061603.01)

10

15

20

communications link) to provide additional processor resources
and/or capabilities.

ff nc ano <, R »rvir« s based. The ROS services provided using
a host processor 654 and/or a secure processor (SPU 500) are
linked in the preferred embodiment using a "Remote Procedure
Call" ("RPC") internal processing request structure. Cooperating
processors may request interprocess services using a RPC
mechanism, which is minimally time dependent and can be
distributed over cooperating processors on a network of hosts. The
multi-processor architecture provided by ROS 602 is easily
extensible to support any number of host or security processors.
This extensibility supports high levels of scalability. Services also
allow functions to be implemented differently on different
equipment. For example, a small appliance that typically has low
levels of usage by one user may implement a database service
using very different techniques than a very large appliance with
high levels of usage by many users. This is another aspect of
scalability.

ROS 602 prrwirtes a distr ibuted processing environment.
For example, it permits information and control structures to
automatically, securely pass between sites as required to fulfill a
user's requests. Communications between VDE nodes under the
25 distributed processing features of ROS 602 may include

interprocess service requests as discussed above. ROS 602

- 188 -

(0061603.01)

supports conditional and/or state dependent execution of controlled
processors within any VDE node. The location that the process
executes and the control structures used may be locally resident,
remotely accessible, or carried along by the process to support
5 execution on a remote system.

ROS 602 provides distribution of control information,
including for example the distribution of control structures
required to permit "agents" to operate in remote environments.
10 Thus, ROS 602 provides facilities for passing execution and/or

information control as part of emerging requirements for "agent"
processes.

If desired, ROS 602 may independently distribute control
15 information over very low bandwidth connections that may or may

not be "real time" connections. ROS 602 provided by the preferred
embodiment is "network friendly," and can be implemented with
any level of networking protocol. Some examples include e-mail
and direct connection at approximately "Layer 5" of the ISO model.

20

The ROS 602 distribution process (and the associated
auditing of distributed information) is a controlled event that itself
uses such control structures. This "reflective" distributed
25 processing mechanism permits ROS 602 to securely distribute

rights and permissions in a controlled manner, and effectively

- 189 -

(0061603.01)

restrict the characteristics of use of information content. The
controlled delegation of rights in a distributed environment and
the secure processing techniques used by ROS 602 to support this
approach provide significant advantages.

5

Certain control mechanisms within ROS 602 are
"reciprocal." Reciprocal control mechanisms place one or more
control components at one or more locations that interact with one
or more components at the same or other locations in a controlled

10 way. For example, a usage control associated with object content

at a user's location may have a reciprocal control at a distributor's
location that governs distribution of the usage control, auditing of
the usage control, and logic to process user requests associated
with the usage control. A usage control at a user's location (in

15 addition to controlling one or more aspects of usage) may prepare

audits for a distributor and format requests associated with the
usage control for processing by a distributor. Processes at either
end of a reciprocal control may be further controlled by other
processes (e.g., a distributor may be limited by a budget for the

20 number of usage control mechanisms they may produce).

Reciprocal control mechanisms may extend over many sites and
many levels (e.g., a creator to a distributor to a user) and may
take any relationship into account (e.g., creator/distributor,
distributor/user, user/user, user/creator, user/creator/distributor,

25 etc.) Reciprocal control mechanisms have many uses in VDE 100

in representing relationships and agreements in a distributed environment.

- 190 -

(0061603.01)

ROS 602 is scalable. Many portions of ROS 602 control
structures and kernel(s) are easily portable to various host
platforms without recompilation. Any control structure may be
distributed (or redistributed) if a granting authority permits this
type of activity. The executable references within ROS 602 are
portable within a target platform. Different instances of ROS 602
may execute the references using different resources. For
example, one instance of ROS 602 may perform a task using an
SPU 500, while another instance of ROS 602 might perform the
same task using a host processing environment running in
protected memory that is emulating an SPU in software. ROS 602
control informationis similarly portable; in many cases the event
processing structures may be passed between machines and host
platforms as easily as between cooperative processors in a single
computer. Appliances with different levels of usage and/or
resources available for ROS 602 functions may implement those
functions in very different ways. Some services may be omitted
entirely if insufficient resources exist. As described elsewhere,
ROS 602 Tcnows" what services are available, and how to proceed
based on any given event. Not all events may be processable if
resources are missing or inadequate.

ROS 602 is component based. Much of the functionality
provided by ROS 602 in the preferred embodiment may be based
on "components" that can be securely, independently deliverable,
replaceable and capable of being modified (e.g., under

- 191 -

(0061603.01)

appropriately secure conditions and authorizations). Moreover, the
"components" may themselves be made of independently
deliverable elements. ROS 602 may assemble these elements
together (using a construct provided by the preferred embodiment

5 called a "channel") at execution time. For example, a load

module" for execution by SPU 500 may reference one or more
"method cores," method parameters and other associated data
structures that ROS 602 may collect and assemble together to
perform a task such as billing or metering. Different users may

10 have different combinations of elements, and some of the elements

may be customizable by users with appropriate authorization.
This increases flexibility, allows elements to be reused, and has
other advantages.

15

•ROS fi02 is highly secure. ROS 602 provides mechanisms to
protect information control structures from exposure by end users
and conduit hosts. ROS 602 can protect information, VDE control
structures and control executables using strong encryption and
validation mechanisms. These encryption and validation
20 mechanisms are designed to make them highly resistant to

undetected tampering. ROS 602 encrypts information stored on
secondary storage device(s) 652 to inhibit tampering. ROS 602
also separately encrypts and validates its various components.
ROS 602 correlates control and data structure components to
25 prevent unauthorized use of elements. These features permit ROS

602 to independently distribute elements, and also allows

- 192 -

(0061603.01)

integration of VDE functions 604 with non-secure "other" OS
functions 606.

ROS 602 provided by the preferred embodiment extends
conventional capabilities such as, for example, Access Control List
(ACL) structures, to user and process defined events, including
state transitions. ROS 602 may provide full control information
over pre-defined and user-defined application events. These
control mechanisms include "go/no-go" permissions, and also
include optional event-specific executables that permit complete
flexibility in the processing and/or controlling of events. This
structure permits events to be individually controlled so that, for
example, metering and budgeting may be provided using
independent executables. For example, ROS 602 extends ACL
structures to control arbitrary granularity of information.
Traditional operating systems provide static "go-no go" control
mechanisms at a file or resource level; ROS 602 extends the
control concept in a general way from the largest to the smallest
sub-element using a flexible control structure. ROS 602 can, for
example, control the printing of a single paragraph out of a
document file.

ROS 602 provided by the preferred embodiment permits
secure modification and update of control information governing
each component. The control information may be provided in a
template format such as method options to an end-user. An

- 193 -

(0061603.01)

end-user may then customize the actual control information used
within guidelines provided by a distributor or content creator.
Modification and update of existing control structures is preferably
also a controllable event subject to auditing and control

information.

ROS 602 provided by the preferred embodiment validates
control structures and secured executables prior to use. This
validation provides assurance that control structures and
executables have not been tampered with by end-users. The
validation also permits ROS 602 to securely implement
components that include fragments of files and other operating
system structures. ROS 602 provided by the preferred
embodiment integrates security considerations at the operating
system I/O level (which is below the access level), and provides
"on-the-fly" decryption of information at release time. These
features permit non-secure storage of ROS 602 secured
components and information using an OS layer "on top or
traditional operating system platforms.

POS R02 is hit^lv intertable with host platforms as an
additional operating system layer. Thus, ROS 602 may be created
by "adding on" to existing operating systems. This involves
hooking VDE "add ons" to the host operating system at the device
driver and network interface levels. Alternatively, ROS 602 may

- 194 -

(0061603.01)

6 •

comprise a wholly new operating system that integrates both VDE
functions and other operating system functions.

Indeed, there are at least three general approaches to
integrating VDE functions into a new operating system,
potentially based on an existing operating system, to create a
Rights Operating System 602 including:

(1) Redesign the operating system based on VDE
transaction management requirements;

(2) Compile VDE API functions into an existing operating
systems; and

(3) Integrate a VDE Interpreter into an existing operating
system.

The first approach could be most effectively applied when a
new operating system is being designed, or if a significant upgrade
to an existing operating system is planned. The transaction
management and security requirements provided by the VDE
functions could be added to the design requirements list for the
design of a new operating system that provides, in an optimally
efficient manner, an integration of "traditional" operating system
capabilities and VDE capabilities. For example, the engineers
responsible for the design of the new version or instance of an
operating system would include the requirements of VDE
metering/transaction management in addition to other
requirements (if any) that they use to form their design approach,

- 195-

(0061603.01)

specifications, and actual implementations. This approach could
lead to a "seamless" integration of VDE functions and capabilities
by threading metering/transaction management functionality
throughout the system design and implementation.

The second approach would involve taking an existing set of
API (Application Programmer Interface) functions, and
incorporating references in the operating system code to VDE
function calls. This is similar to the way that the current

10 Windows operating system is integrated with DOS, wherein DOS

serves as both the launch point and as a significant portion of the
kernel underpinning of the Windows operating system. This
approach would be also provide a high degree of "seamless"
integration (although not quite as "seamless" as the first

15 approach). The benefits of this approach include the possibility

that the incorporation of metering/transaction management
functionality into the new version or instance of an operating
system may be accomplished with lower cost (by making use of the
existing code embodied in an API, and also using the design

20 implications of the API functional approach to influence the design

of the elements into which the metering/transaction management
functionality is incorporated).

The third approach is distinct from the first two in that it
25 does not incorporate VDE functionality associated with

metering/transaction management and data security directly into

- 196-

(0061603.01)

the operating system code, but instead adds a new generalized
capability to the operating system for executing
metering/transaction management functionality. In this case, an
interpreter including metering/transaction management functions
would be integrated with other operating system code in a "stand
alone" mode. This interpreter might take scripts or other inputs to
determine what metering/transaction management functions
should be performed, and in what order and under which
circumstances or conditions they should be performed.

Instead of (or in addition to) integrating VDE functions
into/with an electronic appliance operating system, it would be
possible to provide certain VDE functionality available as an
application running on a conventional operating system.

ROS Software Architecture

Figure 10 is a block diagram of one example of a software
structure/architecture for Rights Operating System ("ROS") 602
provided by the preferred embodiment. In this example, ROS 602
includes an operating system ("OS") "core" 679, a user Application
Program Interface ("API") 682, a "redirector" 684, an "intercept"
692, a User Notification/Exception Interface 686, and a file system
687. ROS 602 in this example also includes one or more Host
Event Processing Environments ("HPEs") 655 and/or one or more
Secure Event Processing Environments ("SPEs") 503 (these

- 197 -

(0061603.01)

environments may be genericaUy referred to as "Protected
Processing Environments" 650).

HPE(s) 655 and SPE(s) 503 are self-contained computing
5 and processing environments that may include their own operating

system kernel 688 including code and data processing resources.
A given electronic appliance 600 may include any number of
SPE(s) 503 and/or any number of HPE(s) 655. HPE(s) 655 and
SPE(s) 503 may process information in a secure way, and provide
10 secure processing support for ROS 602. For example, they may

each perform secure processing based on one or more VDE
component assemblies 690, and they may each offer secure
processing services to OS kernel 680.

15 In the preferred embodiment, SPE 503 is a secure processing

environment provided at least in part by an SPU 500. Thus, SPU
500 provides the hardware tamper-resistant barrier 503
surrounding SPE 503. SPE 503 provided by the preferred
embodiment is preferably:
2Q • small and compact

loadable into resource constrained environments
such as for example minimally configured SPUs
500

• dynamically updatable
25 • extensible by authorized users

- 198-

(0061603.01)

• integratable into object or procedural
environments

• secure.

In the preferred embodiment, HPE 655 is a secure
processing environment supported by a processor other than an
SPU, such as for example an electronic appliance CPU 654
general-purpose microprocessor or other processing system or
device. In the preferred embodiment, HPE 655 may be considered
to "emulate" an SPU 500 in the sense that it may use software to
provide some or all of the processing resources provided in
hardware and/or firmware by an SPU. HPE 655 in one preferred
embodiment of the present invention is full-featured and fully
compatible with SPE 503— that is, HPE 655 can handle each and
every service call SPE 503 can handle such that the SPE and the
HPE are "plug compatible" from an outside interface standpoint
(with the exception that the HPE may not provide as much
security as the SPE).

HPEs 655 may be provided in two types: secure and not
secure. For example, it may be desirable to provide non-secure
versions of HPE 655 to allow electronic appliance 600 to efficiently
run non-sensitive VDE tasks using the full resources of a fast
general purpose processor or computer. Such non-secure versions
of HPE 655 may run under supervision of an instance of ROS 602
that also includes an SPE 503. In this way, ROS 602 may run all

- 199 -

(0061603.01)

secure processes within SPE 503, and only use HPE 655 for
processes that do not require security but that may require (or run
more efficiently) under potentially greater resources provided by a
general purpose computer or processor supporting HPE 655. Non-
5 secure and secure HPE 655 may operate together with a secure

SPE 503.

HPEs 655 may (as shown in Figure 10) be provided with a
software-based tamper resistant barrier 674 that makes them
10 more secure. Such a software-based tamper resistant barrier 674

may be created by software executing on general-purpose CPU

654. Such a "secure" HPE 655 can be used by ROS 602 to execute
processes that, while still needing security, may not require the
degree of security provided by SPU 500. This can be especially

15 beneficial in architectures providing both an SPE 503 and an HPE

655. The SPU 502 may be used to perform all truly secure
processing, whereas one or more HPEs 655 may be used to provide
additional secure (albeit possibly less secure than the SPE)
processing using host processor or other general purpose resources

20 that may be available within an electronic appliance 600. Any

service may be provided by such a secure HPE 655. In the
preferred embodiment, certain aspects of "channel processing"
appears to be a candidate that could be readily exported from SPE
503 to HPE 655.

-200-

(0061603.01)

The software-based tamper resistant barrier 674 provided by
HPE 655 may be provided, for example, by: introducing time
checks and/or code modifications to complicate the process of
stepping through code comprising a portion of kernel 688a and/or a
5 portion of component assemblies 690 using a debugger; using a

map of defects on a storage device (e.g., a hard disk, memory card,
etc.) to form internal test values to impede moving and/or copying
HPE 655 to other electronic appliances 600; using kernel code that
contains false branches and other complications in flow of control

10 to disguise internal processes to some degree from disassembly or

other efforts to discover details of processes; using "self-
generating" code (based on the output of a co-sine transform, for
example) such that detailed and/or complete instruction sequences
are not stored explicitly on storage devices and/or in active

15 memory but rather are generated as needed; using code that

"shuffles" memory locations used for data values based on
operational parameters to complicate efforts to manipulate such
values; vising any software and/or hardware memory management
resources of electronic appliance 600 to "protect" the operation of

20 HPE 655 from other processes, functions, etc. Although such a

software-based tamper resistant barrier 674 may provide a fair
degree of security, it typically will not be as secure as the
hardware-based tamper resistant barrier 502 provided (at least in
part) by SPU 500. Because security may be better/more effectively

25 enforced with the assistance of hardware security features such as

those provided by SPU 500 (and because of other factors such as

-201 -

(0061603.01)

increased performance provided by special purpose circuitry vathm
SPU 500), at least one SPE 503 is preferred for marry or most
higher security applications. However, in applications where
lesser security can be tolerated and/or the cost of an SPU 500
cannot be tolerated, the SPE 503 may be omitted and all secure
processing may instead be performed by one or more secure HPEs
655 executing on general-purpose CPUs 654. Some VDE processes
may not be allowed to proceed on reduced-security electrons
appliances of dus type if insufficient security is provided for the
particular process involved.

Only those processes that execute completely within SPEs
503 (and in some cases, HPEs 655) may be considered to be truly
secure. Memory and other resources external to SPE 503 and
HPEs 655 used to store and/or process code and/or data to be used
in secure processes should only receive and handle that
information in encrypted form unless SPE 503/HPE 655 can
protect secure process code and/or data from non-secure processes.

OS "core" 679 in the preferred embodiment includes a kernel
680 an RPC manager 732, and an "object switch" 734. API 682,
HPE 655 and SPE 503 may communicate "event" messages with
one another via OS "core" 679. They may also communicate
messages directly with one another without messages going
through OS "core" 679.

- 202 -

(0061603.01)

Kernel 680 may manage the hardware of an electronic
appliance 600. For example, it may provide appropriate drivers
and hardware managers for interacting with input/output and/or
peripheral devices such as keyboard 612, display 614, other
5 devices such as a "mouse" pointing device and speech recognizer

613, modem 618, printer 622, and an adapter for network 672.
Kernel 680 may also be responsible for initially loading the
remainder of ROS 602, and may manage the various ROS tasks
(and associated underlying hardware resources) during execution.
10 OS kernel 680 may also manage and access secure database 610

and file system 687. OS kernel 680 also provides execution
services for applications 608a(l), 608a(2), etc. and other
applications.

15 RPC manager 732 performs messaging routing and resource

management/integration for ROS 680. It receives and routes
"calls" from/to API 682, HPE 655 and SPE 503, for example.

Object switch 734 may manage construction, deconstruction
20 and other manipulation of VDE objects 300.

User Notification/Exception Interface 686 in the preferred
embodiment (which may be considered part of API 682 or another
application coupled to the API) provides "pop up" windows/displays
25 on display 614. This allows ROS 602 to communicate directly with

a user without having to pass information to be communicated

-203 -

(0061603.01)

through applications 608. For applications that are not "VDE
aware," user notification/exception interface 686 may provide
communications between ROS 602 and the user.

5 API 682 in the preferred embodiment provides a

standardized, documented software interface to applications 608.
In part, API 682 may translate operating system "calls" generated
by applications 608 into Remote Procedure Calls ("RPCs")
specifying "events." RPC manager 732 may route these RPCs to

10 kernel 680 or elsewhere (e.g., to HPE(s) 655 and/or SPE(s) 503, or

to remote electronic appliances 600, processors, or VDE
participants) for processing. The API 682 may also service RPC
requests by passing them to applications 608 that register to
receive and process specific requests.

15

20

API 682 provides an "Applications Programming Interface"
that is preferably standardized and documented. It provides a
concise set of function calls an application program can use to
access services provided by ROS 602. In at least one preferred
example, API 682 will include two parts: an application program
interface to VDE functions 604; and an application program
interface to other OS functions 606. These parts may be
interwoven into the same software, or they may be provided as two
or more discrete pieces of software (for example).

25

-204-

(0061603.01)

Some applications, such as application 608a(l) shown in
Figure 11, may be "VDE aware" and may therefore directly access
both of these parts of API 682. Figure 11A shows an example of
this. A "VDE aware" application may, for example, include explicit
5 calls to ROS 602 requesting the creation of new VDE objects 300,

metering usage of VDE objects, storing information in VDE-
protected form, etc. Thus, a "VDE aware" application can initiate
(and, in some examples, enhance and/or extend) VDE functionality
provided by ROS 602. In addition, "VDE aware" applications may
10 provide a more direct interface between a user and ROS 602 (e.g.,

by suppressing or otherwise dispensing with "pop up" displays
otherwise provided by user notification/exception interface 686 and
instead providing a more "seamless" interface that integrates
application and ROS messages).

15

Other applications, such as application 608b shown in
Figure 11B, may not be "VDE Aware" and therefore may not
"know" how to directly access an interface to VDE functions 604
provided by API 682. To provide for this, ROS 602 may include a

20 "redirector" 684 that allows such "non-VDE aware" applications

608(b) to access VDE objects 300 and functions 604. Redirector
684, in the preferred embodiment, translates OS calls directed to
the "other OS functions" 606 into calls to the "VDE functions" 604.
As one simple example, redirector 684 may intercept a "file open"

25 call from application 608(b), determine whether the file to be

opened is contained within a VDE container 300, and if it is,

- 205 -

(0061603.01)

10

15

20

generate appropriate VDE function call(s) to file system 687 to
open the VDE container (and potentially generate events to HPE
655 and/or SPE 503 to determine the name(s) of file(s) that may be
stored in a VDE object 300, establish a control structure associated
with a VDE object 300, perform a registration for a VDE object
300, etc.). Without redirector 684 in this example, a non-VDE
aware application such as 608b could access only the part of API
682 that provides an interface to other OS functions 606, and
therefore could not access any VDE functions.

This "translation" feature of redirector 684 provides
"transparency." It allows VDE functions to be provided to the
application 608(b) in a "transparent" way without requiring the
application to become involved in the complexity and details
associated with generating the one or more calls to VDE functions
604. This aspect of the "transparency" features of ROS 602 has at
least two important advantages:

(a) it allows applications not written specifically for VDE
functions 604 ("non-VDE aware applications") to
nevertheless access critical VDE functions; and

(b) it reduces the complexity of the interface between an
application and ROS 602.

Since the second advantage (reducing complexity) makes it easier
for an application creator to produce applications, even "VDE
25 aware" applications 608a(2) may be designed so that some calls

invoking VDE functions 604 are requested at the level of an "other

-206-

(0061603.01)

OS functions" call and then "translated" by redirector 684 into a
VDE function call (in this sense, redirector 684 may be considered
a part of API 682). Figure 11C shows an example of this. Other
calls invoking VDE functions 604 may be passed directly without
translation by redirector 684.

Referring again to Figure 10, ROS 620 may also include an
"interceptor" 692 that transmits and/or receives one or more real
time data feeds 694 (this may be provided over cable(s) 628 for
example), and routes one or more such data feeds appropriately
while providing "translation" functions for real time data sent
and/or received by electronic appliance 600 to allow "transparency"
for this type of information analogous to the transparency provided
by redirector 684 (and/or it may generate one or more real time
data feeds).

Secure ROS Components and Component Assemblies

As discussed above, ROS 602 in the preferred embodiment is
a component-based architecture. ROS VDE functions 604 may be
based on segmented, independently loadable executable
"component assemblies" 690. These component assemblies 690 are
independently securely deliverable. The component assemblies
690 provided by the preferred embodiment comprise code and data
elements that are themselves independently deliverable. Thus,
each component assembly 690 provided by the preferred
embodiment is comprised of independently securely deliverable

- 207 -

(0061603.01)

elements which may be communicated using VDE secure
communication techniques, between VDE secure subsystems.

These component assemblies 690 are the basic functional
5 unit provided by ROS 602. The component assemblies 690 are

executed to perform operating system or application tasks. Thus,
some component assemblies 690 may be considered to be part of
the ROS operating system 602, while other component assemblies
may be considered to be "applications" that run under the support

10 of the operating system. As with any system incorporating

"applications" and "operating systems," the boundary between
these aspects of an overall system can be ambiguous. For
example, commonly used "application" functions (such as
determining the structure and/or other attributes of a content

15 container) may be incorporated into an operating system.

Furthermore, "operating system" functions (such as task
management, or memory allocation) may be modified and/or
replaced by an application. A common thread in the preferred
embodiment's ROS 602 is that component assemblies 690 provide

20 functions needed for a user to fulfill her intended activities, some

of which may be "application-like" and some of which may be
"operating system-like."

Components 690 are preferably designed to be easily
25 separable and individually loadable. ROS 602 assembles these

elements together into an executable component assembly 690

-208-

(0061603.01)

prior to loading and executing the component assembly (e.g., in a
secure operating environment such as SPE 503 and/or HPE 655).
ROS 602 provides an element identification and referencing
mechanism that includes information necessary to automatically
5 assemble elements into a component assembly 690 in a secure

manner prior to, and/or during, execution.

ROS 602 application structures and control parameters used
to form component assemblies 690 can be provided by different

10 parties. Because the components forming component assemblies

690 are independently securely deliverable, they may be delivered
at different times and/or by different parties ("delivery" may take
place within a local VDE secure subsystem, that is submission
through the use of such a secure subsystem of control information

15 by a chain of content control information handling participant for

the preparation of a modified control information set constitutes
independent, secure delivery). For example, a content creator can
produce a ROS 602 application that defines the circumstances
required for licensing content contained within a VDE object 300.

20 This application may reference structures provided by other

parties. Such references might, for example, take the form of a
control path that uses content creator structures to meter user
activities; and structures created/owned by a financial provider to
handle financial parts of a content distribution transaction (e.g.,

25 defining a credit budget that must be present in a control

structure to establish creditworthiness, audit processes which

- 209 -

(0061603.01)

must be performed by the licensee, etc.). As another example, a
distributor may give one user more favorable pricing than another
user by delivering different data elements defining pricing to
different users. This attribute of supporting multiple party
securely, independently deliverable control information is
fundamental to enabling electronic commerce, that is, defining of a
content and/or appliance control information set that represents
the requirements of a collection of independent parties such as
content creators, other content providers, financial service
providers, and/or users.

In the preferred embodiment, ROS 602 assembles securely
independently deliverable elements into a component assembly
690 based in part on context parameters (e.g., object, user). Thus,
for example, ROS 602 may securely assemble different elements
together to form different component assemblies 690 for different
users performing the same task on the same VDE object 300.
Similarly, ROS 602 may assemble differing element sets which
may include, that is reuse, one or more of the same components to
form different component assemblies 690 for the same user
performing the same task on different VDE objects 300.

The component assembly organization provided by ROS 602
is "recursive" in that a component assembly 690 may comprise one
or more component "subassemblies" that are themselves
independently loadable and executable component assemblies 690.

- 210 -

(0061603.01)

These component "subassemblies" may, in turn, be made of one or
more component "sub-sub-assemblies." In the general case, a
component assembly 690 may include N levels of component
subassemblies.

5

Thus, for example, a component assembly 690(k) that may
includes a component subassembly 690(k + 1). Component
subassembly 690(k + 1), in turn, may include a component sub-sub-
assembly 690(3), ... and so on to N-level subassembly 690(k + N).
10 The ability of ROS 602 to build component assemblies 690 out of

other component assemblies provides great advantages in terms of,
for example, code/data reusability, and the ability to allow
different parties to manage different parts of an overall
component.

15

Each component assembly 690 in the preferred embodiment
is made of distinct components. Figures 11D-11H are abstract
depictions of various distinct components that may be assembled
to form a component assembly 690(k) showing Figure 111. These

20 same components can be combined in different ways (e.g., with

more or less components) to form different component assemblies
690 providing completely different functional behavior. Figure 11 J
is an abstract depiction of the same components being put together
in a different way (e.g., with additional components) to form a

25 different component assembly 690(j). The component assemblies

690(k) and 690(j) each include a common feature 691 that

- 211 -

(0061603.01)

interlocks with a "channel" 594 defined by ROS 602. This
"channel" 594 assembles component assemblies 690 and interfaces
them with the (rest of) ROS 602.

ROS 602 generates component assemblies 690 in a secure
manner. As shown graphically in Figures 111 and 11J, the
different elements comprising a component assembly 690 may be
"interlocking" in the sense that they can only go together in ways
that are intended by the VDE participants who created the
elements and/or specified the component assemblies. ROS 602
includes security protections that can prevent an unauthorized
person from modifying elements, and also prevent an unauthorized
person from substituting elements. One can picture an
unauthorized person making a new element having the same
"shape" as the one of the elements shown in Figures 11D-11H, and
then attempting to substitute the new element in place of the
original element. Suppose one of the elements shown in Figure
11H establishes the price for using content within a VDE object
300. If an unauthorized person could substitute her own "price"
element for the price element intended by the VDE content
distributor, then the person could establish a price of zero instead
of the price the content distributor intended to charge. Similarly,
if the element establishes an electronic credit card, then an ability
to substitute a different element could have disastrous
consequences in terms of allowing a person to charge her usage to
someone else's (or a non-existent) credit card. These are merely a

- 212 -

(0061603.01)

few simple examples demonstrating the importance of ROS 602
ensuring that certain component assemblies 690 are formed in a
secure manner. ROS 602 provides a wide range of protections
against a wide range of "threats" to the secure handling and
5 execution of component assemblies 690.

In the preferred embodiment, ROS 602 assembles
component assemblies 690 based on the following types of
elements:

10 Permissions Records ("PERC"s) 808;

Method "Cores" 1000;
Load Modules 1100;

Data Elements (e.g., User Data Elements ("UDEs") 1200 and
Method Data Elements ("MDEs") 1202); and
15 Other component assemblies 690.

Briefly, a PERC 808 provided by the preferred embodiment
is a record corresponding to a VDE object 300 that identifies to
ROS 602, among other things, the elements ROS is to assemble

20 together to form a component assembly 690. Thus PERC 808 in

effect contains a "list of assembly instructions" or a "plan"
specifying what elements ROS 602 is to assemble together into a
component assembly and how the elements are to be connected
together. PERC 808 may itself contain data or other elements

25 that are to become part of the component assembly 690.

- 213 -

(0061603.01)

The PERC 808 may reference one or more method "cores"
1000'. A method core 1000' may define a basic "method" 1000
(e.g., "control," "billing," "metering," etc.)

In the preferred embodiment, a "method" 1000 is a collection
of basic instructions, and information related to basic instructions,
that provides context, data, requirements, and/or relationships for
use in performing, and/or preparing to perform, basic instructions
in relation to the operation of one or more electronic appliances
600. Basic instructions may be comprised of, for example:

machine code of the type commonly used in the
programming of computers; pseudo-code for use by an
interpreter or other instruction processing program

15 operating on a computer;

a sequence of electronically represented logical
operations for use with an electronic appliance 600;
• or other electronic representations of instructions,
source code, object code, and/or pseudo code as those

on terms are commonly understood in the arts.

Information relating to said basic instructions may comprise,
for example, data associated intrinsically with basic instructions
such as for example, an identifier for the combined basic
instructions and intrinsic data, addresses, constants, and/or the

- 214 -

(0061603.01)

like. The information may also, for example, include one or more
of the following:

information that identifies associated basic

instructions and said intrinsic data for access,

correlation and/or validation purposes;

required and/or optional parameters for use with basic

instructions and said intrinsic data;

information defining relationships to other methods;

data elements that may comprise data values, fields of

information, and/or the like;

information specifying and/or defining relationships
among data elements, basic instructions and/or
intrinsic data;

information specifying relationships to external data
elements;

information specifying relationships between and
among internal and external data elements, methods,
and/or the like, if any exist; and

• additional information required in the operation of
basic instructions and intrinsic data to complete, or
attempt to complete, a purpose intended by a user of a
method, where required, including additional
instructions and/or intrinsic data.

- 215 -

(0061603.01)

Such information associated with a method may be stored,
in part or whole, separately from basic instructions and intrinsic
data. When these components are stored separately, a method
may nevertheless include and encompass the other information
and one or more sets of basic instructions and intrinsic data (the
latter being included because of said other information's reference
to one or more sets of basic instructions and intrinsic data),
whether or not said one or more sets of basic instructions and
intrinsic data are accessible at any given point in time.

Method core 1000' may be parameterized by an "event code"
to permit it to respond to different events in different ways. For
example, a METER method may respond to a "use" event by
storing usage information in a meter data structure. The same
METER method may respond to an "adininistrative" event by
reporting the meter data structure to a VDE clearinghouse or
other VDE participant.

In the preferred embodiment, method core 1000' may
"contain," either explicitly or by reference, one or more "load
modules" 1100 and one or more data elements (UDEs 1200, MDEs
1202). In the preferred embodiment, a "load module" 1100 is a
portion of a method that reflects basic instructions and intrinsic
data. Load modules 1100 in the preferred embodiment contain
executable code, and may also contain data elements ("DTDs"
1108) associated with the executable code. In the preferred

- 216 -

(0061603.01)

embodiment, load modules 1100 supply the program instructions
that are actually "executed" by hardware to perform the process
denned by the method. Load modules 1100 may contain or
reference other load modules.

Load modules 1100 in the preferred embodiment are
modular and "code pure" so that individual load modules may be
reenterable and reusable. In order for components 690 to be
dynamically updatable, they may be individually addressable
within a global public name space. In view of these design goals,
load modules 1100 are preferably small, code (and code-like) pure
modules that are individually named and addressable. A single
method may provide different load modules 1100 that perform the
same or similar functions on different platforms, thereby making
the method scalable and/or portable across a wide range of
different electronic appliances.

UDEs 1200 and MDEs 1202 may store data for input to or
output from executable component assembly 690 (or data
describing such inputs and/or outputs). In the preferred
embodiment, UDEs 1200 may be user dependent, whereas MDEs
1202 may be user independent.

The component assembly example 690(k) shown in Figure
HE comprises a method core 1000', UDEs 1200a & 1200b, an
MDE 1202, load modules HOOa-HOOd, and a further component

- 217 -

(0061603.01)

assembly 690(k+l). As mentioned above, a PERC 808(k) defines,
among other things, the "assembly instructions" for component
assembly 690(k), and may contain or reference parts of some or all
of the components that are to be assembled to create a component
assembly.

One of the load modules 1100b shown in this example is
itself comprised of plural load modules 1100c, HOOd. Some of the
load modules (e.g., 1100a, HOOd) in this example include one or
more "DTD" data elements 1108 (e.g., 1108a, 1108b). DTD" data
elements 1108 may be used, for example, to inform load module
1100a of the data elements included in MDE 1202 and/or UDEs
1200a, 1200b. Furthermore, DTDs 1108 may be used as an aspect
of forming a portion of an application used to inform a user as to
the information required and/or manipulated by one or more load
modules 1100, or other component elements. Such an application
program may also include functions for creating and/or
manipulating UDE(s) 1200, MDE(s) 1202, or other component
elements, subassemblies, etc.

Components within component assemblies 690 may be
"reused" to form different component assemblies. As mentioned
above, figure 1 IF is an abstract depiction of one example of the
same components used for assembling component assembly 690(k)
to be reused (e.g., with some additional components specified by a
different set of "assembly instructions" provided in a different

- 218 -

(0061603.01)

PERC 808(1)) to form a different component assembly 690(1). Even
though component assembly 690(1) is formed from some of the
same components used to form component assembly 690(k), these
two component assemblies may perform completely different
processes in complete different ways.

As mentioned above, ROS 602 provides several layers of
security to ensure the security of component assemblies 690. One
important security layer involves ensuring that certain component
assemblies 690 are formed, loaded and executed only in secure
execution space such as provided within an SPU 500. Components
690 and/or elements comprising them may be stored on external
media encrypted using local SPU 500 generated and/or distributor
provided keys.

ROS 602 also provides a tagging and sequencing scheme
that may be used within the loadable component assemblies 690 to
detect tampering by substitution. Each element comprising a
component assembly 690 may be loaded into an SPU 500,
decrypted using encrypt/decrypt engine 522, and then
tested/compared to ensure that the proper element has been
loaded. Several independent comparisons may be used to ensure
there has been no unauthorized substitution. For example, the
public and private copies of the element ID may be compared to
ensure that they are the same, thereby preventing gross
substitution of elements. In addition, a validation/correlation tag
stored under the encrypted layer of the loadable element may be

- 219 -

(0061603.01)

compared to make sure it matches one or more tags provided by a
requesting process. This prevents unauthorized use of
information. As a third protection, a device assigned tag (e.g., a
sequence number) stored under an encryption layer of a loadable
element may be checked to make sure it matches a corresponding
tag value expected by SPU 500. This prevents substitution of
older elements. Validation/correlation tags are typically passed
only in secure wrappers to prevent plaintext exposure of this
information outside of SPU 500.

The secure component based architecture of ROS 602 has
important advantages. For example, it accommodates limited
resource execution environments such as provided by a lower cost
SPU 500. It also provides an extremely high level of
configurability. In fact, ROS 602 will accommodate an almost
unlimited diversity of content types, content provider objectives,
transaction types and client requirements. In addition, the ability
to dynamically assemble independently deliverable components at
execution time based on particular objects and users provides a
high degree of flexibility, and facilitates or enables a distributed
database, processing, and execution environment.

One aspect of an advantage of the component-based
architecture provided by ROS 602 relates to the ability to "stage"
functionality and capabilities over time. As designed,
implementation of ROS 602 is a finite task. Aspects of its wealth

- 220 -

(0061603.01)

of functionality can remain unexploited until market realities
dictate the implementation of corresponding VDE application
functionality. As a result, initial product implementation
investment and complexity may be limited. The process of
5 "surfacing" the full range of capabilities provided by ROS 602 in

terms of authoring, administrative, and artificial intelligence
applications may take place over time. Moreover, already-
designed functionality of ROS 602 may be changed or enhanced at
any time to adapt to changing needs or requirements.

10

More Detailed Discussion of Rights Operating System 602
Architecture

Figure 12 shows an example of a detailed architecture of
15 ROS 602 shown in Figure 10. ROS 602 may include a file system

687 that includes a commercial database manager 730 and
external object repositories 728. Commercial database manager
730 may maintain secure database 610. Object repository 728 may
store, provide access to, and/or maintain VDE objects 300.

20

Figure 12 also shows that ROS 602 may provide one or more
SPEs 503 and/or one or more HPEs 655. As discussed above, HPE
655 may "emulate" an SPU 500 device, and such HPEs 655 may be
integrated in lieu of (or in addition to) physical SPUs 500 for
25 systems that need higher throughput. Some security may be lost

since HPEs 655 are typically protected by operating system
security and may not provide truly secure processing. Thus, in the

- 221 -

(0061603.01)

preferred embodiment, for high security applications at least, all
secure processing should take place within an SPE 503 having an
execution space within a physical SPU 500 rather than a HPE
655 using software operating elsewhere in electronic appliance
600.

As mentioned above, three basic components of ROS 602 are
a kernel 680, a Remote Procedure Call (RPC) manager 732 and an
object switch 734. These components, and the way they interact
with other portions of ROS 602, will be discussed below.

Kernel 680

Kernel 680 manages the basic hardware resources of
electronic appliance 600, and controls the basic tasking provided
by ROS 602. Kernel 680 in the preferred embodiment may include
a memory manager 680a, a task manager 680b, and an I/O
manager 680c. Task manager 680b may initiate and/or manage
initiation of executable tasks and schedule them to be executed by
a processor on which ROS 602 runs (e.g., CPU 654 shown in
Figure 8). For example, Task manager 680b may include or be
associated with a "bootstrap loader" that loads other parts of ROS
602. Task manager 680b may manage all tasking related to ROS
602, including tasks associated with application program(s) 608.
Memory manager 680a may manage allocation, deallocation,
sharing and/or use of memory (e.g., RAM 656 shown in Figure 8)
of electronic appliance 600, and may for example provide virtual

- 222 -

(0061603.01)

memory capabilities as required by an electronic appliance and/or
associated application(s). I/O manager 680c may manage all input
to and output from ROS 602, and may interact with drivers and
other hardware managers that provide communications and
5 interactivity with physical devices.

RPC Manager 732

ROS 602 in a preferred embodiment is designed around a
"services based" Remote Procedure Call architecture/interface. All

10 functions performed by ROS 602 may use this common interface to

request services and share information. For example, SPE(s) 503
provide processing for one or more RPC based services. In
addition to supporting SPUs 500, the RPC interface permits the
dynamic integration of external services and provides an array of

15 configuration options using existing operating system components.

ROS 602 also communicates with external services through the
RPC interface to seamlessly provide distributed and/or remote
processing. In smaller scale instances of ROS 602, a simpler
message passing IPC protocol may be used to conserve resources.

20 This may limit the configurability of ROS 602 services, but this

possible limitation may be acceptable in some electronic
appliances.

The RPC structure allows services to be called/requested
25 without the calling process having to know or specify where the

service is physically provided, what system or device will service

- 223 -

(0061603.01)

the request, or how the service request will be fulfilled. This
feature supports families of services that may be scaled and/or
customized for specific applications. Service requests can be
forwarded and serviced by different processors and/or different
sites as easily as they can be forwarded and serviced by a local
service system. Since the same RPC interface is used by ROS 602
in the preferred embodiment to request services within and
outside of the operating system, a request for distributed and/or
remote processing incurs substantially no additional operating
system overhead. Remote processing is easily and simply
integrated as part of the same service calls used by ROS 602 for
requesting local-based services. In addition, the use of a standard
RPC interface ("RSI") allows ROS 602 to be modularized, with the
different modules presenting a standardized interface to the
remainder of the operating system. Such modularization and
standardized interfacing permits different vendors/operating
system programmers to create different portions of the operating
system independently, and also allows the functionality of ROS
602 to be flexibly updated and/or changed based on different
requirements and/or platforms.

RPC manager 732 manages the RPC interface. It receives
service requests in the form of one or more "Remote Procedure
Calls" (RPCs) from a service requestor, and routes the service
requests to a service provider(s) that can service the request. For
example, when rights operating system 602 receives a request

- 224 -

(0061603.01)

from a user application via user API 682, RPC manager 732 may
route the service request to an appropriate service through the
"RPC service interface" ("RSI"). The RSI is an interface between
RPC manager 732, service requestors, and a resource that will
5 accept and service requests.

The RPC interface (RSI) is used for several major ROS 602
subsystems in the preferred embodiment.

10 RPC services provided by ROS 602 in the preferred

embodiment are divided into subservices, i.e., individual instances
of a specific service each of which may be tracked individually by
the RPC manager 732. This mechanism permits multiple
instances of a specific service on higher throughput systems while

15 maintaining a common interface across a spectrum of

implementations. The subservice concept extends to supporting
multiple processors, multiple SPEs 503, multiple HPEs 655, and
multiple communications services.

20 The preferred embodiment ROS 602 provides the following

RPC based service providers/requestors (each of which have an
RPC interface or "RSI" that communicates with RPC manager
732):

SPE device driver 736 (this SPE device driver is connected
25 to an SPE 503 in the preferred embodiment);

- 225 -

(0061603.01)

HPE Device Driver 738 (this HPE device driver is connected

to an HPE 738 in the preferred embodiment);
Notification Service 740 (this notification service is

connected to user notification interface 686 in the

preferred embodiment);
API Service 742 (this API service is connected to user API

682 in the preferred embodiment;
Redirector 684;

Secure Database (File) Manager 744 (this secure database or
file manager 744 may connect to and interact with
commercial database manager 730 and secure files
610 through a cache manager 746, a database
interface 748, and a database driver 750);

Name Services Manager 752;

Outgoing Administrative Objects Manager 754;

Incoming Administrative Objects Manager 756;

a Gateway 734 to object switch 734 (this is a path used to
allow direct communication between RPC manager
732 and Object Switch 734); and

Communications Manager 776.

The types of services provided by HPE 655, SPE 503, User
Notification 686, API 742 and Redirector 684 have already been
described above. Here is a brief description of the type(s) of
services provided by OS resources 744, 752, 754, 756 and 776:

- 226-

(0061603.01)

Secure DataHasP Manager 744 services requests for access to

secure database 610;
Name Serves Manager 752 services requests relating to

user, host, or service identification;
Outgoing Administrative Objects M anager 754 services

requests relating to outgoing administrative objects;
t — ™ir,fr Admini strative Objects Manager 756 services

requests relating to incoming aclministrative objects;

and

Communications Manager 776 services requests relating to
communications between electronic appliance 600 and
the outside world.

Object Switch 734

Object switch 734 handles, controls and communicates (both
locally and remotely) VDE objects 300. In the preferred
embodiment, the object switch may include the following elements:

a stream router 758;

a real time stream interface(s) 760 (which may be connected

to real time data feed(s) 694);
a time dependent stream interface(s) 762;
a intercept 692;
a container manager 764;
one or more routing tables 766; and
buffering/storage 768.

- 227 -

(0061603.01)

Stream router 758 routes to/from "real time" and "time
independent" data streams handled respectively by real time
stream interface(s) 760 and time dependent stream interface(s)
762. Intercept 692 intercepts I/O requests that involve real-time
information streams such as, for example, real time feed 694. The
routing performed by stream router 758 may be determined by
routing tables 766. Buffering/storage 768 provides temporary
store-and-forward, buffering and related services. Container
manager 764 may (typically in conjunction with SPE 503) perform
processes on VDE objects 300 such as constructing, deconstructing,
and locating portions of objects.

Object switch 734 communicates through an Object Switch
Interface ("OSP) with other parts of ROS 602. The Object Switch
Interface may resemble, for example, the interface for a Unix
socket in the preferred embodiment. Each of the "OSP interfaces
shown in Figure 12 have the ability to communicate with object
switch 734.

ROS 602 includes the following object switch service
providers/resources (each of which can communicate with the
object switch 734 through an "OSI"):

Outgoing Aclministrative Objects Manager 754;

Incoming Aclministrative Objects Manager 756;

Gateway 734 (which may translate RPC calls into object

switch calls and vice versa so RPC manager 732 may

- 228 -

(0061603.01)

electronic mail services. External Services Manager 772 may
interface to communications manager 776 through a Service
Transport Layer 786. Service Transport Layer 786a may enable
External Services Manager 772 to communicate with external
5 computers and systems using various protocols managed using the

service transport layer 786.

The characteristics of and interfaces to the various
subsystems of ROS 680 shown in Figure 12 are described in more
10 detail below.

RPC Manager 732 and Its RPC Services Interface

As discussed above, the basic system services provided by
ROS 602 are invoked by using an RPC service interface (RSI).
15 This RPC service interface provides a generic, standardized

interface for different services systems and subsystems provided
by ROS 602.

RPC Manager 732 routes RPCs requesting services to an
20 appropriate RPC service interface. In the preferred embodiment,

upon receiving an RPC call, RPC manager 732 determines one or
more service managers that are to service the request. RPC
manager 732 then routes a service request to the appropriate
service(s) (via a RSI associated with a service) for action by the
25 appropriate service managers).

- 230 -

(0061603.01)

communicate with object switch 734 or any other
element having an OSI to, for example, provide and/or
request services);
External Services Manager 772;
5 Object Submittal Manager 774; and

Communications Manager 776.

Briefly,

Object Repository Manager 770 provides services relating to

access to object repository 728;
External Services Manager 772 provides services relating to
requesting and receiving services externally, such as
from a network resource or another site;
Obiect Submittal Manager 774 provides services relating to
how a user application may interact with object switch
734 (since the object submittal manager provides an
interface to an application program 608, it could be
considered part of user API 682); and
Communi cations Manager 776 provides services relating to
communicating with the outside world.

In the preferred embodiment, communications manager 776
may include a network manager 780 and a mail gateway
(manager) 782. Mail gateway 782 may include one or more mail
25 filters 784 to, for example, automatically route VDE related

electronic mail between object switch 734 and the outside world

10

15

20

- 229 -

(0061603.01)

For example, if a SPE 503 is to service a request, the RPC
Manager 732 routes the request to RSI 736a, which passes the
request on to SPE device driver 736 for forwarding to the SPE.
Similarly, if HPE 655 is to service the request, RPC Manager 732
5 routes the request to RSI 738a for forwarding to a HPE. In one

preferred embodiment, SPE 503 and HPE 655 may perform
essentially the same services so that RSIs 736a, 738a are different
instances of the same RSI. Once a service request has been
received by SPE 503 (or HPE 655), the SPE (or HPE) typically

10 dispatches the request internally using its own internal RPC

manager (as will be discussed shortly). Processes within SPEs 503
and HPEs 655 can also generate RPC requests. These requests
may be processed internally by a SPE/HPE, or if not internally
serviceable, passed out of the SPE/HPE for dispatch by RPC

15 Manager 732.

Remote (and local) procedure calls may be dispatched by a
RPC Manager 732 using an "RPC Services Table." An RPC
Services Table describes where requests for specific services are to

20 be routed for processing. Each row of an RPC Services Table in

the preferred embodiment contains a services ID, the location of
the service, and an address to which control will be passed to
service a request. An RPC Services Table may also include control
information that indicates which instance of the RPC dispatcher

25 controls the service. Both RPC Manager 732 and any attached

SPEs 503 and HPEs 655 may have symmetric copies of the RPC

- 231 -

(0061603.01)

Services Table. If an RPC service is not found in the RPC services
tables, it is either rejected or passed to external services manager
772 for remote servicing.

Assuming RPC manager 732 finds a row corresponding to
the request in an RPC Services Table, it may dispatch the request
to an appropriate RSI. The receiving RSI accepts a request from
the RPC manager 732 (which may have looked up the request in
an RPC service table), and processes that request in accordance
with internal priorities associated with the specific service.

In the preferred embodiment, RPC Service Interface(s)
supported by RPC Manager 732 may be standardized and
published to support add-on service modules developed by third
party vendors, and to facilitate scalability by making it easier to
program ROS 602. The preferred embodiment RSI closely follows
the DOS and Unix device driver models for block devices so that
common code may be developed for many platforms with minimum
effort. An example of one possible set of common entry points are
listed below in the table.

Interface call

SVC.LOAD

Description

Load a service manager and return its status.

SVC.UNLOAD

Unload a service manager.

SVC.MOUNT

Mount (load) a dynamically loaded subservice and
return its status. —

- 232 -

(0061603.01)

5

SVCJJNMOUNT

Unmount (unload) a dynamically loaded
subservice.

SVC.OPEN

Open a mounted subservice.

SVC_CLOSE

Close a mounted subservice.

SVCJtEAD

Read a block from an opened subservice.

SVC WRITE

Write a block to an opened subservice.

SVCJOCTL

Control a subservice or a service manager.

Load

In the preferred embodiment, services (and the associated
10 RSIs they present to RPC manager 732) may be activated during

boot by an installation boot process that issues an RPC LOAD.
This process reads an RPC Services Table from a configuration
file, loads the service module if it is run time loadable (as opposed
to being a kernel linked device driver), and then calls the LOAD
15 entry point for the service. A successful return from the LOAD

entry point will indicate that the service has properly loaded and
is ready to accept requests.

RPC LOAD Call Example: SVC.LOAD (long service Jd)
20 This LOAD interface call is called by the RPC manager 732

during rights operating system 602 initialization. It permits a
service manager to load any dynamically loadable components and
to initialize any device and memory required by the service. The
service number that the service is loaded as is passed in as

- 233 -

(0061603.01)

service Jd parameter. In the preferred embodiment, the service
returns 0 is the initialization process was completed successfully
or an error number if some error occurred.

Mount

Once a service has been loaded, it may not be fully
functional for all subservices. Some subservices (e.g.,
communications based services) may require the establishment of
additional connections, or they may require additional modules to
be loaded. If the service is defined as "mountable," a RPC manager
732 will call the MOUNT subservice entry point with the
requested subservice ID prior to opening an instance of a
subservice.

RPC MOUNT Call Example:

SVC_MOUNT (long servicejd, long subservice_id, BYTE

♦buffer)

This MOUNT interface call instructs a service to make a
specific subservice ready. This may include services related to
networking, communications, other system services, or external
resources. The service Jd and subservice Jd parameters may be
specific to the specific service being requested. The buffer
parameter is a memory address that references a control structure
appropriate to a specific service.

- 234 -

(0061603.01)

Open

Once a service is loaded and "mounted," specific instances of
a service may be "opened" for use. "Opening" an instance of a
service may allocate memory to store control and status
5 information. For example, in a BSD socket based network

connection, a LOAD call will initialize the software and protocol
control tables, a MOUNT call will specify networks and hardware
resources, and an OPEN will actually open a socket to a remote
installation.

10

Some services, such as commercial database manager 730
that underlies the secure database service, may not be
"mountable." In this case, a LOAD call will make a connection to
a database manager 730 and ensure that records are readable. An
15 OPEN call may create instances of internal cache manager 746 for

various classes of records.

RPC OPEN Call Example:

SVC_OPEN (long service.id, long subservice_id, BYTE
20 *buffer, int (*receive) (long requested))

This OPEN interface call instructs a service to open a
specific subservice. The servicejd and subservicejd parameters
are specific to the specific service being requested, and the buffer
parameter is a memory address that references a control structure
25 appropriate to a specific service.

. 235 -

(0061603.01)

The optional receive parameter is the address of a
notification callback function that is called by a service whenever a
message is ready for the service to retrieve it. One call to this
address is made for each incoming message received. If the caller
passes a NULL to the interface, the software will not generate a
callback for each message.

Close, Unmount and Unload

The converse of the OPEN, MOUNT, and LOAD calls are
CLOSE, UNMOUNT, and UNLOAD. These interface calls release
any allocated resources back to ROS 602 (e.g., memory manager
680a).

RPC CLOSE Call Example: SVC_CLOSE (long svc_handle)

This LOAD interface call closes an open service "handle." A
service "handle" describes a service and subservice that a user
wants to close. The call returns 0 if the CLOSE request succeeds
(and the handle is no longer valid) or an error number.

RPC UNLOAD Call Example: SVCJJNLOAD (void)

This UNLOAD interface call is called by a RPC manager
732 during shutdown or resource reallocation of rights operating
system 602. It permits a service to close any open connections,
flush buffers, and to release any operating system resources that it
may have allocated. The service returns 0.

- 236-

(0061603.01)

RPC UNMOUNT Call Example: SVCJJNMOUNT (long service_id,
long subservice_id)

This UNMOUNT interface call instructs a service to
deactivate a specific subservice. The servicejd and subservicejd
5 parameters are specific to the specific service being requested, and

must have been previously mounted using the SVC_MOUNT()
request. The call releases all system resources associated with the
subservice before it returns.

10 Read and Write

The READ and WRITE calls provide a basic mechanism for
sending information to and receiving responses from a mounted
and opened service. For example, a service has requests written to
it in the form of an RPC request, and makes its response available
15 to be read by RPC Manager 732 as they become available.

RPC READ Call Example:

SVC_READ (long svcjiandle, long requested, BYTE
♦buffer, long size)

20 This READ call reads a message response from a service.

The svcjiandle and requestjd parameters uniquely identify a
request. The results of a request will be stored in the user
specified buffer up to size bytes. If the buffer is too small, the
first size bytes of the message will be stored in the buffer and an

25 error will be returned.

- 237 -

(0061603.01)

If a message response was returned to the caller's buffer
correctly, the function will return 0. Otherwise, an error message
will be returned.

5 RPC WRITE Call Example:

SVC_write (long service_id, long subservice_id, BYTE
♦buffer, long size, int (*receive) (long requested)

This WRITE call writes a message to a service and
subservice specified by the servicejd/subservicejd parameter

10 pair. The message is stored in buffer (and usually conforms to the

VDE RPC message format) and is size bytes long. The function
returns the request id for the message (if it was accepted for
sending) or an error number. If a user specifies the receive
callback functions, all messages regarding a request will be sent to

15 the request specific callback routine instead of the generalized

message callback.

Input/Output Control

The IOCTL ("Input/Output ConTroL") call provides a
20 mechanism for querying the status of and controlling a loaded

service. Each service type will respond to specific general IOCTL
requests, all required class IOCTL requests, and service specific
IOCTL requests.

- 238 -

(0061603.01)

RPC IOCTL Call Example: ROI_SVC_IOCTL (long service.id, long
subservice_id,

int command, BYTE "buffer)

5 This IOCTL function provides a generalized control interface

for a RSI. A user specifies the servicejd parameter and an
optional subservicejd parameter that they wish to control. They
specify the control command parameters), and a buffer into/from
which the command parameters may be written/read. An
10 example of a list of commands and the appropriate buffer

structures are given below.

Command

Structure

Description

GETJNFO

SVCJNFO

Returns information about a

service/subservice.

GET_STATS

SVC_STATS

Returns current statistics about a
service/subservice.

CLRJSTATS

None

Clears the statistics about a
service/subservice.

* * * * *

Now that a generic RPC Service Interface provided by the
preferred embodiment has been described, the following
description relates to particular examples of services provided by
ROS 602.

20

25

- 239 -

(0061603.01)

SPE Device Driver 736

SPE device driver 736 provides an interface between ROS
602 and SPE 503. Since SPE 503 in the preferred embodiment
runs within the confines of an SPU 500, one aspect of this device
5 driver 736 is to provide low level communications services with the

SPU 500 hardware. Another aspect of SPE device driver 736 is to
provide an RPC service interface (RSI) 736a particular to SPE 503
(this same RSI may be used to communicate with HPE 655
through HPE device driver 738).

10

SPE RSI 736a and driver 736 isolates calling processes
within ROS 602 (or external to the ROS) from the detailed service
provided by the SPE 503 by providing a set of basic interface
points providing a concise function set. This has several

15 advantages. For example, it permits a full line of scaled SPUs

500 that all provide common functionality to the outside world but
which may differ in detailed internal structure and architecture.
SPU 500 characteristics such as the amount of memory resident in
the device, processor speed, and the number of services supported

20 within SPU 500 may be the decision of the specific SPU

manufacturer, and in any event may differ from one SPU
configuration to another. To maintain compatibility, SPE device
driver 736 and the RSI 736a it provides conform to a basic
common RPC interface standard that "hides" differences between

25 detailed configurations of SPUs 500 and/or the SPEs 503 they may

support.

-240-

(0061603.01)

10

15

20

To provide for such compatibility, SPE RSI 736a in the
preferred embodiment follows a simple block based standard. In
the preferred embodiment, an SPE RSI 736a may be modeled after
the packet interfaces for network Ethernet cards. This standard
closely models the block mode interface characteristics of SPUs
500 in the preferred embodiment.

An SPE RSI 736a allows RPC calls from RPC manager 732
to access specific services provided by an SPE 736. To do this,
SPE RSI 736a provides a set of "service notification address
interfaces." These provide interfaces to individual services
provided by SPE 503 to the outside world. Any calling process
within ROS 602 may access these SPE-provided services by
directing an RPC call to SPE RSI 736a and specifying a
corresponding "service notification address" in an RPC call. The
specified "service notification address" causes SPE 503 to
internally route an RPC call to a particular service within an SPE.
The following is a listing of one example of a SPE service
breakdown for which individual service notification addresses may
be provided:

Channel Services Manager

Authentication Manager/Secure Communications Manager
Secure Database Manager

-241-

(0061603.01)

The Channel Services Manager is the principal service
provider and access point = o SPE 503 for the rest of ROS 602.
Event processing, as will be discussed later, is primarily managed
(from the point of view of processes outside SPE 503) by this
5 service. The Authentication Manager/Secure Communications

Manager may provide login/logout services for users of ROS 602,
and provide a direct service for managing communications
(typically encrypted or otherwise protected) related to component
assemblies 690, VDE objects 300, etc. Requests for display of

10 information (e.g., value remaining in a financial budget) may be

provided by a direct service request to a Secure Database Manager
inside SPE 503. The instances of Authentication Manager/Secure
Communications Manager and Secure Database Manager, if
available at all, may provide only a subset of the information

15 and/or capabilities available to processes operating inside SPE

503. As stated above, most (potentially all) service requests
entering SPE are routed to a Channel Services Manager for
processing. As will be discussed in more detail later on, most
control structures and event processing logic is associated with

20 component assemblies 690 under the management of a Channel

Services Manager.

The SPE 503 must be accessed through its associated SPE
driver 736 in this example. Generally, calls to SPE driver 736 are
25 made in response to RPC calls. In this example, SPE driver RSI

736a may translate RPC calls directed to control or ascertain

- 242 -

(0061603.01)

information about SPE driver 736 into driver calls. SPE driver
RSI 736a in conjunction with driver 736 may pass RPC calls
directed to SPE 503 through to the SPE.

5 The following table shows one example of SPE device driver

736 calls:

-243-

(0061603.01)

!

Entry Point

Description

SPEJnfoO

Returns summary information about
the SPE driver 736 (and SPE 503)

SPE_initialize_interface()

Initializes SPE driver 736, and sets the
default notification address for received
packets.

SPE_tenninate_interface()

Terminates SPE driver 736 and resets
SPU 500 and the driver 736.

SPE_reset_interface()

Resets driver 736 without resetting
SPU 500.

SPE_get_stats()

Return statistics for notification
addresses and/or an entire driver 736.

SPE_clear_stats()

Clears statistics for a specific
notification address and/or an entire
driver 736.

SPE_set_notify()

Sets a notification address for a specific
service ID.

SPE_get_notify()

Returns a notification address for a
specific service ID.

SPE_tx_pkt()

Sends a packet (e.g., containing an RPC
call) to SPE 503 for processing.

The following are more detailed examples of each of the SPE
driver calls set forth in the table above.

15

Example of an 'SPE Information*Driver Call: SPE.info (void)

This function returns a pointer to an SPEJNFO data
structure that defines the SPE device driver 736a. This data

-244-

(0061603.01)

structure may provide certain information about SPE device driver
736, RSI 736a and/or SPU 500. An example of a SPE JNFO
structure is described below:

Version Number/ID for SPE
Device Driver 736

Version Number/ID for SPE
Device Driver RSI 736

Pointer to name of SPE Device
Driver 736

Pointer to ID name of SPU 500

Functionality Code Describing
SPE Capabilities/functionality

Example of an SPE "Initialize InterfaceDriver Call:

SPE_initialize_interface (int (fen *receiver)(void))

A receiver function passed in by way of a parameter will be
called for all packets received from SPE 503 unless their
destination service is over-ridden using the set_notify() call. A
receiver function allows ROS 602 to specify a format for packet
communication between RPC manager 732 and SPE 503.

This function returns w 0" in the preferred embodiment if the
initialization of the interface succeeds and non-zero if it fails. If

- 245 -

(0061603.01)

the function fails, it will return a code that describes the reason
for the failure as the value of the function.

Example of an SPE 'Terminate InterfaceTDriver Call:

5 SPE J;erminate_interface (void)

In the preferred embodiment, this function shuts down SPE
Driver 736, clears all notification addresses, and terminates all
outstanding requests between an SPE and an ROS RPC manager
732. It also resets an SPE 503 (e.g., by a warm reboot of SPU
10 500) after all requests are resolved.

Termination of driver 736 should be performed by ROS 602
when the operating system is starting to shut down. It may also
be necessary to issue this call if an SPE 503 and ROS 602 get so
15 far out of synchronization that all processing in an SPE must be

reset to a known state.

Example of an SPE "Reset InterfaceDriver Call:

SPE_reset_interface (void)
20 This function resets driver 736, terminates all outstanding

requests between SPE 503 and an ROS RPC manager 732, and
clears all statistics counts. It does not reset the SPU 500, but
simply restores driver 736 to a known stable state.

25 Example of an SPE 'Get StatisticsUriver Call: SPE_get_stats

(long service_id)

-246-

(0061603.01)

This function returns statistics for a specific service
notification interface or for the SPE driver 736 in general. It
returns a pointer to a static buffer that contains these statistics or
NULL if statistics are unavailable (either because an interface is
not initialized or because a receiver address was not specified). An
example of the SPE_STATS structure may have the following
definition:

10

15

20

Service id

# packets rx

# packets tx

# bytes rx

# bytes tx

# errors rx

# errors tx

# requests tx

# req tx completed

# req tx cancelled

# req rx

# req rx completed

# req rx cancelled

25

If a user specifies a service DD, statistics associated with
packets sent by that service are returned. If a user specified 0 as

-247 -

(0061603.01)

the parameter, the total packet statistics for the interface are
returned.

Example of an SPE "Clear Statistics* Driver Call: SPE_clear_stats
(long service_id)

This function clears statistics associated with the SPE
service_id specified. If no service_id is specified (i.e., the caller
passes in 0), global statistics will be cleared. The function returns
0 if statistics are successfully cleared or an error number if an
error occurs.

Example of an SPE "Set Notification Address" Driver Call:

SPE_set_notify (long service_id, int (fcn*receiver) (void))

This function sets a notification address (receiver) for a
specified service. If the notification address is set to NULL, SPE
device driver 736 will send notifications for packets to the specified
service to the default notification address.

Example of a SPE "Get Notification Address" Driver Call:
SPE_get_notify (long service_id)

This function returns a notification address associated with
the named service or NULL if no specific notification address has
been specified.

-248 -

(0061603.01)

Example of an SPE 'Send Packet" Driver Call:

send_pkt (BYTE *buffer, long size, int (far "receive) (void))
This function sends a packet stored in buffer of "length" size.

It returns 0 if the packet is sent successfully, or returns an error

code associated with the failure.

Redirector Service Manager 684

The redirector 684 is a piece of systems integration software
used principally when ROS 602 is provided by "adding on w to a
pre-existing operating system or when "transparent" operation is
desired for some VDE functions, as described earlier. In one
embodiment the kernel 680, part of communications manager 776,
file system 687, and part of API service 742 may be part of a pre-
existing operating system such as DOS, Windows, UNIX,
Macintosh System, OS9, PSOS, OS/2, or other operating system
platform. The remainder of ROS 602 subsystems shown in Figure
12 may be provided as an "add on" to a preexisting operating
system. Once these ROS subsystems have been supplied and
"added on," the integrated whole comprises the ROS 602 shown in
Figure 12.

In a scenario of this type of integration, ROS 602 will
continue to be supported by a preexisting OS kernel 680, but may
supplement (or even substitute) many of its functions by providing
additional add-on pieces such as, for example, a virtual memory
manager.

-249-

(0061603.01)

Also in this integration scenario, an add-on portion of API
service 742 that integrates readily with a preexisting API service
is provided to support VDE function calls. A pre-existing API
service integrated with an add-on portion supports an enhanced
set of operating system calls including both calls to VDE functions
604 and calls to functions 606 other than VDE functions (see
Figure 11A). The add-on portion of API service 742 may translate
VDE function calls into RPC calls for routing by RPC manager
732.

ROS 602 may use a standard communications manager 776
provided by the preexisting operating system, or it may provide
"add ons" and/or substitutions to it that may be readily integrated
into it. Redirector 684 may provide this integration function.

This leaves a requirement for ROS 602 to integrate with a
preexisting file system 687. Redirector 684 provides this
integration function.

In this integration scenario, file system 687 of the
preexisting operating system is used for all accesses to secondary
storage. However, VDE objects 300 may be stored on secondary
storage in the form of external object repository 728, file system
687, or remotely accessible through communications manager 776.
When object switch 734 wants to access external object repository
728, it makes a request to the object repository manager 770 that

-250-

(0061603.01)

then routes the request to object repository 728 or to redirector
692 (which in turn accesses the object in file system 687).

Generally, redirector 684 maps VDE object repository 728
content into preexisting calls to file system 687. The redirector
684 provides preexisting OS level information about a VDE object
300, including mapping the object into a preexisting OS's name
space. This permits seamless access to VDE protected content
using "normal* file system 687 access techniques provided by a
preexisting operating system.

In the integration scenarios discussed above, each
preexisting target OS file system 687 has different interface
requirements by which the redirector mechanism 684 may be
"hooked." In general, since all commercially viable operating
systems today provide support for network based volumes, file
systems, and other devices (e.g., printers, modems, etc.), the
redirector 684 may use low level network and file access "hooks" to
integrate with a preexisting operating system. "Add-ons" for
supporting VDE functions 602 may use these existing hooks to
integrate with a preexisting operating system.

User Notification Service Manager 740

User Notification Service Manager 740 and associated user
notification exception interface ("pop up a ) 686 provides ROS 602
with an enhanced ability to communicate with a user of electronic

-251-

(0061603.01)

appliance 600. Not all applications 608 may be designed to
respond to messaging from ROS 602 passed through API 682, and
it may in any event be important or desirable to give ROS 602 the
ability to communicate with a user no matter what state an
application is in. User notification services manager 740 and
interface 686 provides ROS 602 with a mechanism to communicate
directly with a user, instead of or in addition to passing a return
call through API 682 and an application 608. This is similar, for
example, to the ability of the Windows operating system to display
a user message in a "dialog box" that displays "on top of a
running application irrespective of the state of the application.

The User Notification 686 block in the preferred
embodiment may be implemented as application code. The
implementation of interface 740a is preferably built over
notification service manager 740, which may be implemented as
part of API service manager 742. Notification services manager
740 in the preferred embodiment provides notification support to
dispatch specific notifications to an appropriate user process via
the appropriate API return, or by another path. This mechanism
permits notifications to be routed to any authorized process — not
just back to a process that specified a notification mechanism.

API Service Manager 742

The preferred embodiment API Service Manager 742 is
implemented as a service interface to the RPC service manager

-252-

(0061603.01)

732. All user API requests are built on top of this basic interface.
The API Service Manager 742 preferably provides a service
instance for each running user application 608.

Most RPC calls to ROS functions supported by API Service
Manager 742 in the preferred embodiment may map directly to
service calls with some additional parameter checking. This
mechanism permits developers to create their own extended API
libraries with additional or changed functionality.

In the scenario discussed above in which ROS 602 is formed
by integrating "add ons" with a preexisting operating system, the
API service 742 code may be shared (e.g., resident in a host
environment like a Windows DLL), or it may be directly linked
with an applications s code — depending on an application
programmer's implementation decision, and/or the type of
electronic appliance 600. The Notification Service Manager 740
may be implemented within API 682. These components interface
with Notification Service component 686 to provide a transition
between system and user space.

Secure Database Service Manager CSDSM') 744

There are at least two ways that may be used for managing
secure database 600:

• a commercial database approach, and

• a site record number approach.

-253-

(0061603.01)

Which way is chosen may be based on the number of records that
a VDE site stores in the secure database 610.

The commercial database approach uses a commercial
database to store securely wrappered records in a commercial
database. This way may be preferred when there are a large
number of records that are stored in the secure database 610.
This way provides high speed access, efficient updates, and easy
integration to host systems at the cost of resource usage (most
commercial database managers use many system resources).

The site record number approach uses a "site record
number" CSRN") to locate records in the system. This scheme is
preferred when the number of records stored in the secure
database 610 is small and is not expected to change extensively
over time. This way provides efficient resources use with limited
update capabilities. SRNs permit further grouping of similar data
records to speed access and increase performance.

Since VDE 100 is highly scalable, different electronic
appliances 600 may suggest one way more than the other. For
example, in limited environments like a set top, PDA, or other low
end electronic appliance, the SRN scheme may be preferred
because it limits the amount of resources (memory and processor)
required. When VDE is deployed on more capable electronic
appliances 600 such as desktop computers, servers and at

-254-

(0061603.01)

clearinghouse-?, the commercial database scheme may be more
desirable because it provides high performance in environments
where resources are not limited.

One difference between the database records in the two
approaches is whether the records are specified using a full VDE
ID or SRN. To translate between the two schemes, a SRN
reference may be replaced with a VDE ID database reference
wherever it occurs. Similarly, VDE IDs that are used as indices or
references to other items may be replaced by the appropriate SRN
value.

In the preferred embodiment, a commercially available
database manager 730 is used to maintain secure database 610.
ROS 602 interacts with commercial database manager 730
through a database driver 750 and a database interface 748. The .
database interface 748 between ROS 602 and external, third party
database vendors' commercial database manager 730 may be an
open standard to permit any database vendor to implement a VDE
compliant database driver 750 for their products.

ROS 602 may encrypt each secure database 610 record so
that a VDE-provided security layer is "on top or the commercial
database structure. In other words, SPE 736 may write secure
records in sizes and formats that may be stored within a database
record structure supported by commercial database manager 730.

-255-

(0061603.01)

Commercial database manager 730 may then be used to organize,
store, and retrieve the records. In some embodiments, it may be
desirable to use a proprietary and/or newly created database
manager in place of commercial database manager 730. However,
the use of commercial database manager 730 may provide certain
advantages such as, for example, an ability to use already existing
database management product(s).

The Secure Database Services Manager CSDSM") 744
makes calls to an underlying commercial database manager 730 to
obtain, modify, and store records in secure database 610. In the
preferred embodiment, w SDSM a 744 provides a layer "on top of
the structure of commercial database manager 730. For example,
all VDE-secure information is sent to commercial database
manager 730 in encrypted form. SDSM 744 in conjunction with
cache manager 746 and database interface 748 may provide record
management, caching (using cache manager 746), and related
services (on top of) commercial database systems 730 and/or record
managers. Database Interface 748 and cache manager 746 in the
preferred embodiment do not present their own RSI, but rather
the RPC Manager 732 communicates to them through the Secure
Database Manager RSI 744a.

Name Services Manager 752

The Name Services Manager 752 supports three subservices:
user name services, host name services, and services name

-256-

(0061603.01)

10

15

20

services. User name services provides mapping and lookup
between user name and user ID numbers, and may also support
other aspects of user-based resource and information security.
Host name services provides mapping and lookup between the
names (and other information, such as for example address,
communications connection/routing information, etc.) of other
processing resources (e.g., other host electronic appliances) and
VDE node IDs. Services name service provides a mapping and
lookup between services names and other pertinent information
such as connection information (e.g., remotely available service
routing and contact information) and service IDs.

Name Services Manager 752 in the preferred embodiment is
connected to External Services Manager 772 so that it may
provide external service routing information directly to the
external services manager. Name services manager 752 is also
connected to secure database manager 744 to permit the name
services manager 752 to access name services records stored
within secure database 610.

External Services Manager 772 & Services Transport Layer 786

The External Services Manager 772 provides protocol
support capabilities to interface to external service providers.
External services manager 772 may, for example, obtain external
service routing information from name services manager 752, and
then initiate contact to a particular external service (e.g., another

-257 -

(0061603.01)

VDE electronic appliance 600, a financial clearinghouse, etc.)
through communications manager 776. External services manager
772 uses a service transport layer 786 to supply communications
protocols and other information necessary to provide
5 communications.

There are several important examples of the use of External
Services Manager 772. Some VDE objects may have some or all of
their content stored at an Object Repository 728 on an electronic

10 appliance 600 other than the one operated by a user who has, or

wishes to obtain, some usage rights to such VDE objects. In this
case, External Services Manager 772 may manage a connection to
the electronic appliance 600 where the VDE objects desired (or
their content) is stored. In addition, file system 687 may be a

15 network file system (e.g., Netware, LANtastic, NFS, etc.) that

allows access to VDE objects using redirecter 684. Object switch
734 also supports this capability.

If External Services Manager 772 is used to access VDE
20 objects, many different techniques are possible. For example, the

VDE objects may be formatted for use with the World Wide Web
protocols (HTML, HTTP, and URL) by including relevant headers,
content tags, host ID to URL conversion (e.g., using Name Services
Manager 752) and an HTTP-aware instance of Services Transport
25 Layer 786.

-258 -

(0061603.01)

In other examples, External Services Manager 772 may be
used to locate, connect to, and utilize remote event processing
services; smart agent execution services (both to provide these
services and locate them); certification services for Public Keys;
remote Name Services; and other remote functions either
supported by ROS 602 RPCs (e.g., have RSIs), or using protocols
supported by Services Transport Layer 786.

Outgoing Administrative Object Manager 754

Outgoing administrative object manager 754 receives
administrative objects from object switch 734, object repository
manager 770 or other source for transmission to another VDE
electronic appliance. Outgoing administrative object manager 754
takes care of sending the outgoing object to its proper destination.
Outgoing administrative object manager 754 may obtain routing
information from name services manager 752, and may use
communications service 776 to send the object. Outgoing
administrative object manager 754 typically maintains records (in
concert with SPE 503) in secure database 610 (e.g., shipping table
444) that reflect when objects have been successfully transmitted,
when an object should be transmitted, and other information
related to transmission of objects.

Incoming Administrative Object Manager 756

Incoming administrative object manager 756 receives
administrative objects from other VDE electronic appliances 600

-259-

(0061603.01)

10

15

20

via communications manager 776. It may route the object to
object repository manager 770, object switch 734 or other
destination. Incoming administrative object manager 756 typically
maintains records (in concert with SPE 503) in secure database
610 (e.g., receiving table 446) that record which objects have been
received, objects expected for receipt, and other information
related to received and/or expected objects.

Object Repository Manager 770

Object repository manager 770 is a form of database or file
manager. It manages the storage of VDE objects 300 in object
repository 728, in a database, or in the file system 687. Object
repository manager 770 may also provide the ability to browse
and/or search information related to objects (such as summaries of
content, abstracts, reviewers' commentary, schedules, promotional
materials, etc.), for example, by using INFORMATION methods
associated with VDE objects 300.

Object Submittal Manager 774

Object submittal manager 774 in the preferred embodiment
provides an interface between an application 608 and object switch
734, and thus may be considered in some respects part of API 682.
For example, it may allow a user application to create new VDE
objects 300. It may also allow incoming/outgoing administrative
object managers 756, 754 to create VDE objects 300
(administrative objects).

-260-

(0061603.01)

Figure 12A shows how object submittal manager 774 may be
used to communicate with a user of electronic appliance 600 to
help to create a new VDE object 300. Figure 12A shows that
object creation may occur in two stages in the preferred
embodiment: an object definition stage 1220, and an object
creation stage 1230. The role of object submittal manager 774 is
indicated by the two different "user input" depictions (774(1),
774(2)) shown in Figure 12A.

In one of its roles or instances, object submittal manager 774
provides a user interface 774a that allows the user to create an
object configuration file 1240 specifying certain characteristics of a
VDE object 300 to be created. This user interface 774a may, for
example, allow the user to specify that she wants to create an
object, allow the user to designate the content the object will
contain, and allow the user to specify certain other aspects of the
information to be contained within the object (e.g., rules and
control information, identifying information, etc.).

Part of the object definition task 1220 in the preferred
embodiment may be to analyze the content or other information to
be placed within an object. Object definition user interface 774a
may issue calls to object switch 734 to analyze "content" or other
information that is to be included within the object to be created
in order to define or organize the content into "atomic elements"
specified by the user. As explained elsewhere herein, such "atomic

-261-

(0061603.01)

elenent" organizations might, for example, break up the content
into paragraphs, pages or other subdivisions specified by the user,
and might be explicit (e.g., inserting a control character between
each "atomic element") or implicit. Object switch 734 may receive
5 static and dynamic content (e.g., by way of time independent

stream interface 762 and real time stream interface 760), and is
capable of accessing and retrieving stored content or other
information stored within file system 687.

10 The result of object definition 1240 may be an object

configuration file 1240 specifying certain parameters relating to
the object to be created. Such parameters may include, for
example, map tables, key management specifications, and event
method parameters. The object construction stage 1230 may take

15 the object configuration file 1240 and the information or content to

be included within the new object as input, construct an object
based on these inputs, and store the object within object repository
728.

20 Object construction stage 1230 may use information in object

configuration file 1240 to assemble or modify a container. This
process typically involves communicating a series of events to SPE
503 to create one or more PERCs 808, public headers, private
headers, and to encrypt content, all for storage in the new object

25 300 (or within secure database 610 within records associated with

the new object).

-262-

(0061603 01)

The object configuration file 1240 may be passed to
container manager 764 within object switch 734. Container
manager 734 is responsible for constructing an object 300 based on
the object configuration file 1240 and further user input. The user
may interact with the object construction 1230 through another
instance 774(2) of object submittal manager 774. In this further
user interaction provided by object submittal manager 774, the
user may specify permissions, rules and/or control information to
be applied to or associated with the new object 300, To specify
permissions, rules and control information, object submittal
manager 774 and/or container manager 764 within object switch
734 generally will, as mentioned above, need to issue calls to SPE
503 (e.g., through gateway 734) to cause the SPE to obtain
appropriate information from secure database 610, generate
appropriate database items, and store the database items into the
secure database 610 and/or provide them in encrypted, protected
form to the object switch for incorporation into the object. Such
information provided by SPE 503 may include, in addition to
encrypted content or other information, one or more PERCs 808,
one or more method cores 1000', one or more load modules 1100,
one or more data structures such as UDEs 1200 and/or MDEs
1202, along with various key blocks, tags, public and private
headers, and error correction information.

The container manager 764 may, in cooperation with SPE
503, construct an object container 302 based at least in part on

-263 -

(0061603.01)

parameters about new object content or other information as
specified by object configuration file 1240. Container manager 764
may then insert into the container 302 the content or other
information (as encrypted by SPE 503) to be included in the new
object. Container manager 764 may also insert appropriate
permissions, rules and/or control information into the container
302 (this permissions, rules and/or control information may be
defined at least in part by user interaction through object
submittal manager 774, and may be processed at least in part by
SPE 503 to create secure data control structures). Container
manager 764 may then write the new object to object repository
687, and the user or the electronic appliance may "register* 1 the
new object by including appropriate information within secure
database 610.

Communications Subsystem 776

Communications subsystem 776, as discussed above, may be
a conventional communications service that provides a network
manager 780 and a mail gateway manager 782. Mail filters 784
may be provided to automatically route objects 300 and other VDE
information to/from the outside world. Communications subsystem
776 may support a real time content feed 684 from a cable,
satellite or other telecommunications link.

-264-

(0061603.01)

Secure Processing Environment 503

As discussed above in connection with Figure 12, each
electronic appliance 600 in the preferred embodiment includes one
or more SPEs 503 and/or one or more HPEs 655. These secure
processing environments each provide a protected execution space
for performing tasks in a secure manner. They may fulfill service
requests passed to them by ROS 602, and they may themselves
generate service requests to be satisfied by other services within
ROS 602 or by services provided by another VDE electronic
appliance 600 or computer.

In the preferred embodiment, an SPE 503 is supported by
the hardware resources of an SPU 500. An HPE 655 may be
supported by general purpose processor resources and rely on
software techniques for security/protection. HPE 655 thus gives
ROS 602 the capability of assembling and executing certain
component assemblies 690 on a general purpose CPU such as a
microcomputer, minicomputer, mainframe computer or
supercomputer processor. In the preferred embodiment, the
overall software architecture of an SPE 503 may be the same as
the software architecture of an HPE 655. An HPE 655 can
"emulate* SPE 503 and associated SPU 500, i.e., each may include
services and resources needed to support an identical set of service
requests from ROS 602 (although ROS 602 may be restricted from
sending to an HPE certain highly secure tasks to be executed only
within an SPU 500).

-265-

(0061603.01)

Some electronic appliance 600 configurations might include
both an SPE 503 and an HPE 655. For example, the HPE 655
could perform tasks that need lesser (or no) security protections,
and the SPE 503 could perform all tasks that require a high
5 degree of security. This ability to provide serial or concurrent

processing using multiple SPE and/or HPE arrangements provides
additional flexibility, and may overcome limitations imposed by
limited resources that can practically or cost-effectively be
provided within an SPU 500. The cooperation of an SPE 503 and

10 an HPE 655 may, in a particular application, lead to a more

efficient and cost effective but nevertheless secure overall
processing environment for supporting and providing the secure
processing required by VDE 100. As one example, an HPE 655
could provide overall processing for allowing a user to manipulate

15 released object 300 'contents; but use SPE 503 to access the secure

object and release the information from the object.

Figure 13 shows the software architecture of the preferred
embodiment Secure Processing Environment (SPE) 503. This

20 architecture may also apply to the preferred embodiment Host

Processing Environment (HPE) 655. "Protected Processing
Environment" CTPE") 650 may refer generally to SPE 503 and/or
HPE 655. Hereinafter, unless context indicates otherwise,
references to any of TPE 650," "HPE 655" and "SPE 503" may

25 refer to each of them.

-266-

(0Q516O3.01)

m

10

15

20

552 provides SPU task and memory management, supports
internal SPU hardware interrupts, provides certain "low level
services," manages TDTD" data structures, and manages the SPU
bus interface unit 530. Kernel/dispatcher 552 also includes a load
module execution manager 568 that can load programs into secure
execution space for execution by SPU 500.

In the preferred embodiment, kernel/dispatcher 552 may
include the following software/functional components:
load module execution manager 568
task manager 576
memory manager 578
virtual memory manager 580
"low level" services manager 582
internal interrupt handlers 584
BIU handler 586 (may not be present in HPE 655)
Service interrupt queues 588
DTD Interpreter 590.

At least parts of the kernel/dispatcher 552 are preferably
stored in SPU firmware loaded into SPU ROM 532. An example of
a memory map of SPU ROM 532 is shown in Figure 14A. This
memory map shows the various components of kernel/dispatcher
552 (as well as the other SPE services shown in Figure 13)
residing in SPU ROM 532a and/or EEPROM 532b. The Figure

-268 -

(0061603.01)

As shown in Figure 13, SPE 503 (PPE 650) includes the
following service managers/major functional blocks in the preferred
embodiment:
Kernel/Dispatcher 552

• Channel Services Manager 562
SPE RPC Manager 550

• Time Base Manager 554

• Encryption/Decryption Manager 556

• Key and Tag Manager 558

• Summary Services Manager 560

• Authentication Manager/Service Communications
Manager 564

• Random Value Generator 565

• Secure Database Manager 566
Other Services 592.

Each of the major functional blocks of PPE 650 is discussed
in detail below.

20 I. SPE Kernel/Dispatcher 552

The Kernel/Dispatcher 552 provides an operating system
"kernel" that runs on and manages the hardware resources of SPU
500. This operating system Teenier 552 provides a self-contained
operating system for SPU 500; it is also a part of overall ROS 602
25 (which may include multiple OS kernels, including one for each

SPE and HPE ROS is controlling/managing). Kernel/dispatcher

10

15

-267-

(0061603.01)

e

14B example of an NVRAM 534b memory map shows the task
manager 576 and other information loaded into NVRAM.

One of the functions performed by kernel/dispatcher 552 is
to receive RPC calls from ROS RPC manager 732. As explained
above, the ROS Kernel RPC manager 732 can route RPC calls to
the SPE 503 (via SPE Device Driver 736 and its associated RSI
736a) for action by the SPE. The SPE kernel/dispatcher 552
receives these calls and either handles them or passes them on to
SPE RPC manager 550 for routing internally to SPE 503. SPE
503 based processes can also generate RPC requests. Some of
these requests can be processed internally by the SPE 503. If they
are not internally serviceable, they may be passed out of the SPE
503 through SPE kernel/dispatcher 552 to ROS RPC manager 732
for routing to services external to SPE 503.

A. Kernel/Dispatcher Task Management

Kernel/dispatcher task manager 576 schedules and oversees
tasks executing within SPE 503 (PPE 650). SPE 503 supports
many types of tasks. A "channel" (a special type of task that
controls execution of component assemblies 690 in the preferred
embodiment) is treated by task manager 576 as one type of task.
Tasks are submitted to the task manager 576 for execution. Task
manager 576 in turn ensures that the SPE 503/SPU 500 resources
necessary to execute the tasks are made available, and then
arranges for the SPU microprocessor 520 to execute the task.

-269-

(0O616O3.01)

Any call to kernel/dispatcher 552 gives the kernel an
opportunity to take control of SPE 503 and to change the task or
tasks that are currently executing. Thus, in the preferred
embodiment kernel/dispatcher task manager 576 may (in
5 conjunction with virtual memory manager 580 and/or memory

manager 578) "swap out" of the execution space any or all of the
tasks that are currently active, and n swap in a additional or
different tasks.

10 SPE tasking managed by task manager 576 may be either

"single tasking" (meaning that only one task may be active at a
time) or "multi-tasking" (meaning that multiple tasks may be
active at once). SPE 503 may support single tasking or multi-
tasking in the preferred embodiment. For example, "high end"

15 implementations of SPE 503 (e.g., in server devices) should

preferably include multi-tasking with "preemptive scheduling"
Desktop applications may be able to use a simpler SPE 503,
although they may still require concurrent execution of several
tasks. Set top applications may be able to use a relatively simple

20 implementation of SPE 503, supporting execution of only one task

at a time. For example, a typical set top implementation of SPU
500 may perform simple metering, budgeting and billing using
subsets of VDE methods combined into single "aggregate" load
modules to permit the various methods to execute in a single

25 tasking environment. However, an execution environment that

supports only single tasking may limit use with more complex

-270-

(0061603.01)

10

15

20

control structures. Such single tasking versions of SPE 503 trade
flexibility in the number and types of metering and budgeting
operations for smaller run time RAM size requirements. Such
implementations of SPE 503 may (depending upon memory
limitations) also be limited to metering a single object 300 at a
time. Of course, variations or combinations are possible to
increase capabilities beyond a simple single tasking environment
without incurring the additional cost required to support "full
multitasking."

In the preferred embodiment, each task in SPE 503 is
represented by a "swap block," which may be considered a "task"
in a traditional multitasking architecture. A "swap block" in the
preferred embodiment is a bookkeeping mechanism used by task
manager 576 to keep track of tasks and sub tasks. It corresponds
to a chunk of code and associated references that "fits" within the
secure execution environment provided by SPU 500. In the
preferred embodiment, it contains a list of references to shared
data elements (e.g., load modules 1100 and UDEs 1200), private
data elements (e.g., method data and local stack), and swapped
process "context" information (e.g., the register set for the process
when it is not processing). Figure 14C shows an example of a
snapshot of SPU RAM 532 storing several examples of "swap
blocks" for a number of different tasks/methods such as a
"channel" task, a "control" task, an "event" task, a "meter" task, a
"budget" task, and a "billing" task. Depending on the size of SPU

-271-

(0061603.01)

RAM 532, "swap blocks" may be swapped out of RAM and stored
temporarily on secondary storage 652 until their execution can be
continued. Thus, SPE 503 operating in a multi-tasking mode may
have one or more tasks "sleeping." In the simplest form, this
involves an active task that is currently processing, and smother
task (e.g., a control task under which the active task may be
running) that is "sleeping" and is "swapped out" of active execution
space. Kernel/dispatcher 522 may swap out tasks at any time.

Task manager 576 may use Memory Manager 578 to help it
perform this swapping operation. Tasks may be swapped out of
the secure execution space by reading appropriate information
from RAM and other storage internal to SPU 500, for example,
and writing a "swap block" to secondaiy storage 652. Kernel 552
may swap a task back into the secure execution space by reading
the swap block from secondary storage 652 and writing the
appropriate information back into SPU RAM 532. Because
secondary storage 652 is not secure, SPE 503 must encrypt and
cryptographically seal (e.g., using a one-way hash function
initialized with a secret value known only inside the SPU 500)
each swap block before it writes it to secondary storage. The SPE
503 must decrypt and verify the cryptographic seal for each swap
block read from secondary storage 652 before the swap block can
be returned to the secure execution space for further execution.

-272-

(0061603.01)

•

9

Loading a "swap block" into SPU memory may require one
or more "paging operations" to possibly first save, and then flush,
any "dirty pages" (i.e., pages changed by SPE 503) associated with
the previously loaded swap blocks, and to load all required pages
for the new swap block context.

Kernel/dispatcher 522 preferably manages the "swap blocks"
using service interrupt queues 588. These service interrupt
queues 588 allow kernel/dispatcher 552 to track tasks (swap
blocks) and their status (running, "swapped out," or "asleep"). The
kernel/dispatcher 552 in the preferred embodiment may maintain
the following service interrupt queues 588 to help it manage the
"swap blocks":

Those tasks that are completely loaded in the execution space and
are waiting for and/or using execution cycles from microprocessor
502 are in the RUN queue. Those tasks that are "swapped" out
(e.g., because they are waiting for other swappable components to
be loaded) are referenced in the SWAP queue. Those tasks that
are "asleep" (e.g., because they are "blocked" on some resource
other than processor cycles or are not needed at the moment) are
referenced in the SLEEP queue. Kernel/dispatcher task manager
576 may, for example, transition tasks between the RUN and
SWAP queues based upon a "round-robin" scheduling algorithm

RUN queue
SWAP queue
SLEEP queue.

-273 -

(0061603.01)

that selects the next task waiting for service, swaps in any pieces
that need to be paged in, and executes the task. Kernel/dispatcher
552 task manager 576 may transition tasks between the SLEEP
queue and the "awake" (i.e., RUN or SWAP) queues as needed.

When two or more tasks try to write to the same data
structure in a multi-tasking environment, a situation exists that
may result in "deadly embrace" or "task starvation." A "multi-
threaded" tasking arrangement may be used to prevent "deadly
embrace" or "task starvation" from happening. The preferred
embodiment kernel/dispatcher 552 may support "single threaded"
or "multi-threaded" tasking.

In single threaded applications, the kernel/dispatcher 552
"locks" individual data structures as they are loaded. Once locked,
no other SPE 503 task may load them and will "block" waiting for
the data structure to become available. Using a single threaded
SPE 503 may, as a practical matter, limit the ability of outside
vendors to create load modules 1100 since there can be no
assurance that they will not cause a "deadly embrace" with other
VDE processes about which outside vendors may know little or
nothing. Moreover, the context swapping of a partially updated
record might destroy the integrity of the system, permit
unmetered use, and/or lead to deadlock. In addition, such
"locking" imposes a potentially indeterminate delay into a typically

-274-

(0061603.01)

time critical process, may limit SPE 503 throughput, and may
increase overhead.

This issue notwithstanding, there are other significant
processing issues related to building single-threaded versions of
SPE 503 that may limit its usefulness or capabilities under some
circumstances. For example, multiple concurrently executing
tasks may not be able to process using the same often-needed data
structure in a single-threaded SPE 503. This may effectively limit
the number of concurrent tasks to one. Additionally, single-
threadedness may eliminate the capability of producing accurate
summary budgets based on a number of concurrent tasks since
multiple concurrent tasks may not be able to effectively share the
same summary budget data structure. Single-threadedness may
also eliminate the capability to support audit processing
concurrently with other processing. For example, real-time feed
processing might have to be shut down in order to audit budgets
and meters associated with the monitoring process.

One way to provide a more workable "single-threaded"
capability is for kernel/dispatcher 552 to use virtual page handling
algorithms to track "dirty pages" as data areas are written to. The
"dirty pages" can be swapped in and out with the task swap block
as part of local data associated with the swap block. When a task
exits, the "dirty pages" can be merged with the current data
structure (possibly updated by another task for SPU 500) using a

-275-

(0061603.01)

three-way merge algorithm (i.e., merging the original data
structure, the current data structure, and the "dirty pages" to form
a new current data structure). During the update process, the
data structure can be locked as the pages are compared and
5 swapped. Even though this virtual paging solution might be

workable for allowing single threading in some applications, the
vendor limitations mentioned above may limit the use of such
single threaded implementations in some cases to dedicated
hardware. Any implementation that supports multiple users (e.g.,
10 "smart home" set tops, many desk tops and certain PDA

applications, etc.) may hit limitations of a single threaded device
in certain circumstances.

It is preferable when these limitations are unacceptable to
15 use a full "multi-threaded" data structure write capabilities. For

example, a type of "two-phase commit" processing of the type used
by database vendors may be used to allow data structure sharing
between processes. To implement this "two-phase commit"
process, each swap block may contain page addresses for
20 additional memory blocks that will be used to store changed

information. A change page is a local copy of a piece of a data
element that has been written by an SPE process. The changed
page(s) references associated with a specific data structure are
stored locally to the swap block in the preferred embodiment.

25

-276-

(0061603.01)

For example, SPE 503 may support two (change pages) per
data structure. This limit is easily alterable by changing the size
of the swap block structure and allowing the update algorithm to
process all of the changed pages. The "commit" process can be
invoked when a swap block that references changed pages is about
to be discarded. The commit process takes the original data
element that was originally loaded (e.g., UDE 0 ), the current data
element (e.g., UDE„) and the changed pages, and merges them to
create a new copy of the data element (e.g., UDE,^). Differences
can be resolved by the DTD interpreter 590 using a DTD for the
data element. The original data element is discarded (e.g., as
determined by its DTD use count) if no other swap block
references it.

B. Kernel/Dispatcher Memory Management

Memory manager 578 and virtual memory manager 580 in
the preferred embodiment manage ROM 532 and RAM 534
memory within SPU 500 in the preferred embodiment. Virtual
memory manager 580 provides a fully "virtual" memory system to
increase the amount of "virtual" RAM available in the SPE secure
execution space beyond the amount of physical RAM 534a
provided by SPU 500. Memory manager 578 manages the memory
in the secure execution space, controlling how it is accessed,
allocated and deallocated. SPU MMU 540, if present, supports
virtual memory manager 580 and memory manager 578 in the
preferred embodiment. In some "minimal" configurations of SPU

-277-

(0061603.01)

10

15

20

500 there may be no virtual memory capability and all memory
management functions will be handled by memory manager 578.
Memory management can also be used to help enforce the security
provided by SPE 503. In some classes of SPUs 500, for example,
the kernel memory manager 578 may use hardware memory
management unit (MMU) 540 to provide page level protection
within the SPU 500. Such a hardware-based memory
management system provides an effective mechanism for
protecting VDE component assemblies 690 from compromise by
"rogue" load modules.

In addition, memory management provided by memory
manager 578 operating at least in part based on hardware-based
MMU 540 may securely implement and enforce a memory
architecture providing multiple protection domains. In such an
architecture, memory is divided into a plurality of domains that
are largely isolated from each other and share only specific
memory areas under the control of the memory manager 578. An
executing process cannot access memory outside its domain and
can only communicate with other processes through services
provided by and mediated by privileged kernel/dispatcher software
552 within the SPU 500. Such an architecture is more secure if it
is enforced at least in part by hardware within MMU 540 that
cannot be modified by any software-based process executing within

SPU 500.

-278-

(0061603.01)

10

15

20

In the preferred embodiment, access to services implemented
in the ROM 532 and to physical resources such as NVRAM 534b
and RTC 528 are mediated by the combination of privileged
kernel/dispatcher software 552 and hardware within MMU 540.
ROM 532 and RTC 528 requests are privileged in order to protect
access to critical system component routines (e.g., RTC 528).

Memory manager 578 is responsible for allocating and
deallocating memory; supervising sharing of memory resources
between processes; and enforcing memory access/use restriction.
The SPE kernel/dispatcher memory manager 578 typically initially
allocates all memory to kernel 552, and may be configured to
permit only process-level access to pages as they are loaded by a
specific process. In one example SPE operating system
configuration, memory manager 578 allocates memory using a
simplified allocation mechanism. A list of each memory page
accessible in SPE 503 may be represented using a bit map
allocation vector, for example. In a memory block, a group of
contiguous memory pages may start at a specific page number.
The size of the block is measured by the number of memory pages
it spans. Memory allocation may be recorded by setting/clearing
the appropriate bits in the allocation vector.

To assist in memory management functions, a "dope vector"
may be prepended to a memory block. The "dope vector" may
contain information allowing memory manager 578 to manage that

• 279-

(0061603.01)

memory block. In its simplest form, a memory block may be
structured as a "dope vector" followed by the actual memory area
of the block. This "dope vector" may include the block number,
support for dynamic paging of data elements, and a marker to

5 detect memory overwrites. Memory manager 578 may track

memory blocks by their block number and convert the block
number to an address before use. All accesses to the memory area
can be automatically offset by the size of the "dope vector" during
conversion from a block memory to a physical address. "Dope

10 vectors" can also be used by virtual memory manager 580 to help

manage virtual memory.

The ROM 532 memory management task performed by
memory manager 578 is relatively simple in the preferred

15 embodiment. All ROM 532 pages may be flagged as "read only"

and as "non-pagable." EEPROM 532B memory management may
be slightly more complex since the "burn count" for each EEPROM
page may need to be retained. SPU EEPROM 532B may need to
be protected from all uncontrolled writes to conserve the limited

20 writable lifetime of certain types of this memory. Furthermore,

EEPROM pages may in some cases not be the same size as
memory management address pages.

SPU NVRAM 534b is preferably battery backed RAM that
25 has a few access restrictions. Memory manager 578 can ensure

control structures that must be located in NVRAM 534b are not

-280-

(0061603.01)

e

relocated during "garbage collection" processes. As discussed
above, memory manager 578 (and MMU 540 if present) may
protect NVRAM 534b and RAM 534a at a page level to prevent
tampering by other processes.

Virtual memory manager 580 provides paging for programs
and data between SPU external memory and SPU internal RAM
534a. It is likely that data structures and executable processes
will exceed the limits of any SPU 500 internal memory. For
example, PERCs 808 and other fundamental control structures
may be fairly large, and "bit map meters" may be, or become, very
large. This eventuality may be addressed in two ways:

(1) subdividing load modules 1100; and

(2) supporting virtual paging.

Load modules 1100 can be "subdivided" in that in many
instances they can be broken up into separate components only a
subset of which must be loaded for execution. Load modules 1100
are the smallest pagable executable element in this example.
Such load modules 1100 can be broken up into separate
components (e.g., executable code and plural data description
blocks), only one of which must be loaded for simple load modules
to execute. This structure permits a load module 1100 to initially
load only the executable code and to load the data description
blocks into the other system pages on a demand basis. Many load
modules 1100 that have executable sections that are too large to

-281-

(0061603.01)

fit into SPU 500 can be restructured into two or more smaller
independent load modules. Large load modules may be manually
"split" into multiple load modules that are "chained" together
using explicit load module references.

Although "demand paging" can be used to relax some of
these restrictions, the preferred embodiment uses virtual paging to
manage large data structures and executables. Virtual Memory
Manager 580 "swaps" information (e.g., executable code and/or
data structures) into and out of SPU RAM 534a, and provides
other related virtual memory management services to allow a full
virtual memory management capability. Virtual memory
management may be important to allow limited resource SPU 500
configurations to execute large and/or multiple tasks.

C. SPE Load Module Execution Manager 568

The SPE (HPE) load module execution manager ("LMEM")
568 loads executables into the memory managed by memory
manager 578 and executes them. LMEM 568 provides
mechanisms for tracking load modules that are currently loaded
inside the protected execution environment. LMEM 568 also
provides access to basic load modules and code fragments stored
within, and thus always available to, SPE 503. LMEM 568 may
be called, for example, by load modules 1100 that want to execute
other load modules.

-282-

(0061603.01)

•

9

In the preferred embodiment, the load module execution
manager 568 includes a load module executor ("program loader")
570, one or more internal load modules 572, and library routines
574. Load module executor 570 loads executables into memory
(e.g., after receiving a memory allocation from memory manager
578) for execution. Internal load module library 572 may provide
a set of commonly used basic load modules 1100 (stored in ROM
532 or NVRAM 534b, for example). Library routines 574 may
provide a set of commonly used code fragments/routines (e.g.,
bootstrap routines) for execution by SPE 503.

Library routines 574 may provide a standard set of library
functions in ROM 532. A standard list of such library functions
along with their entry points and parameters may be used. Load
modules 1100 may call these routines (e.g., using an interrupt
reserved for this purpose). Library calls may reduce the size of
load modules by moving commonly used code into a central
location and permitting a higher degree of code reuse. All load
modules 1100 for use by SPE 503 are preferably referenced by a
load module execution manager 568 that maintains and scans a
list of available load modules and selects the appropriate load
module for execution. If the load module is not present within
SPE 503, the task is "slept" and LMEM 568 may request that the
load module 1100 be loaded from secondary storage 562. This
request may be in the form of an RPC call to secure database
manager 566 to retrieve the load module and associated data

-283-

(0061603.01)

structures, and a call to encrypt/decrypt manager 556 to decrypt
the load module before storing it in memory allocated by memory
manager 578.

In somewhat more detail, the preferred embodiment
executes a load module 1100 by passing the load module execution
manager 568 the name (e.g., VDE ID) of the desired load module
1100. LMEM 568 first searches the list of "in memory" and "built-
in" load modules 572. If it cannot find the desired load module
1100 in the list, it requests a copy from the secure database 610 by
issuing an RPC request that may be handled by ROS secure
database manager 744 shown in Figure 12. Load module
execution manager 568 may then request memory manager 578 to
allocate a memory page to store the load module 1100. The load
module execution manager 568 may copy the load module into that
memory page, and queue the page for decryption and security
checks by encrypt/decrypt manager 556 and key and tag manager
558. Once the page is decrypted and checked, the load module
execution manager 568 checks the validation tag and inserts the
load module into the list of paged in modules and returns the page
address to the caller. The caller may then call the load module
1100 directly or allow the load module execution module 570 to
make the call for it.

Figure 15a shows a detailed example of a possible format for
a channel header 596 and a channel 594 containing channel detail

-284-

(0061603.01)

records 594(1), 594(2), . . . 594(N). Channel header 596 may
include a channel ID field 597(1), a user ID field 597(2), an object
ID field 597(3), a field containing a reference or other
identification to a "right 44 (i.e., a collection of events supported by
methods referenced in a PERC 808 and/or "user rights table" 464)
597(4), an event queue 597(5), and one or more fields 598 that
cross-reference particular event codes with channel detail records
("CDRs"). Channel header 596 may also include a "jump" or
reference table 599 that permits addressing of elements within an
associated component assembly or assemblies 690. Each CDR
594(1), . . . 594(N) corresponds to a specific event (event code) to
which channel 594 may respond. In the preferred embodiment,
these CDRs may include explicitly and/or by reference each
method core 1000' (or fragment thereof), load module 1100 and
data structure(s), (e.g., URT, UDE 1200 and/or MDE 1202) needed
to process the corresponding event. In the preferred embodiment,
one or more of the CDRs (e.g., 594(1)) may reference a control
method and a URT 464 as a data structure.

Figure 15b shows an example of program control steps
performed by SPE 503 to "open" a channel 594 in the preferred
embodiment. In the preferred embodiment, a channel 594
provides event processing for a particular VDE object 300, a
particular authorized user, and a particular "right" (i.e., type of
event). These three parameters may be passed to SPE 503. Part
of SPE kernel/dispatcher 552 executing within a "channel 0"

-285 -

(0061603.01)

constructed by low level services 582 during a "bootstrap" routine
may respond initially to this "open channel" event by allocating an
available channel supported by the processing resources of SPE
503 (block 1125). This "channel 0" "open channel" task may then
issue a series of requests to secure database manager 566 to
obtain the "blueprint" for constructing one or more component
assemblies 690 to be associated with channel 594 (block 1127). In
the preferred embodiment, this "blueprint" may comprise a PERC
808 and/or URT 464. In may be obtained by using the "Object,
User, Right" parameters passed to the "open channel" routine to
"chain" together object registration table 460 records, user/object
table 462 records, URT 464 records, and PERC 808 records. This
"open channel" task may preferably place calls to key and tag
manager 558 to validate and correlate the tags associated with
these various records to ensure that they are authentic and match.
The preferred embodiment process then may write appropriate
information to channel header 596 (block 1129). Such information
may include, for example, User ID, Object ED, and a reference to
the "right" that the channel will process. The preferred
embodiment process may next use the "blueprint" to access (e.g,
the secure database manager 566 and/or from load module
execution manager libraries) 568) the appropriate "control
method" that may be used to, in effect, supervise execution of all of
the other methods 1000 within the channel 594 (block 1131). The
process may next "bind" this control method to the channel (block
1133), which step may include binding information from a URT

-286-

(0061603.01)

464 into the channel as a data structure for the control method.
The process may then pass an "initialization" event into channel
594 (block 1135). This "initialization" event may be created by the
channel services manager 562, the process that issued the original
call requesting a service being fulfilled by the channel being built,
or the control method just bound to the channel could itself
possibly generate an initialization event which it would in effect
pass to itself.

In response to this "initialization" event, the control method
may construct the channel detail records 594(1), . . . 594(N) used
to handle further events other than the "initialization" event. The
control method executing "within" the channel may access the
various components it needs to construct associated component
assemblies 690 based on the "blueprint" accessed at step 1127
(block 1137). Each of these components is bound to the channel
594 (block 1139) by constructing an associated channel detail
record specifying the method core(s) 1000', load module(s) 1100,
and associated data structure(s) (e.g., UDE(s) 1200 and/or MDE(s)
1202) needed to respond to the event. The number of channel
detail records will depend on the number of events that can be
serviced by the "right," as specified by the "blueprint" (i.e., URT
464). During this process, the control method will construct "swap
blocks" to, in effect, set up all required tasks and obtain necessary
memory allocations from kernel 562. The control method will, as
necessary, issue calls to secure database manager 566 to retrieve

-287-

(0061603.01)

necessary components from secure database 610, issue calls to
encrypt/decrypt manager 556 to decrypt retrieved encr^ ; -ted
information, and issue calls to key and tag manager 558 to ensure
that all retrieved components are validated. Each of the various
5 component assemblies 690 so constructed are T>ound a to the

channel through the channel header event code/pointer records 598
and by constructing appropriate swap blocks referenced by channel
detail records 594(1), . . . 594(N). When this process is complete,
the channel 594 has been completely constructed and is ready to
10 respond to further events. As a last step, the Figure 15b process

may, if desired, deallocate the "initialization* event task in order
to free up resources.

Once a channel 594 has been constructed in this fashion, it
will respond to events as they arrive. Channel services manager
562 is responsible for dispatching events to channel 594. Each
time a new event arrives (e.g,, via an RPC call), channel services
manager 562 examines the event to determine whether a channel
already exists that is capable of processing it. If a channel does
exist, then the channel services manager 562 passes the event to
that channel. To process the event, it may be necessary for task
manager 576 to "swap in a certain "swappable blocks" defined by
the channel detail records as active tasks. In this way, executable
component assemblies 690 formed during the channel open process
shown in Figure 15b are placed into active secure execution space,
the particular component assembly that is activated being selected

15

20

25

- 288-

(0061603.01)

9

in response to the received event code. The activated task will
then perform its desired function in response to the event.

To destroy a channel, the various swap blocks defined by the
channel detail records are destroyed, the identification information
in the channel header 596 is wiped clean, and the channel is made
available for re-allocation by the "channel 0" "open channel" task.

D. SPE Interrupt Handlers 584

As shown in Figure 13, kernel/dispatcher 552 also provides
internal interrupt handlers) 584. These help to manage the
resources of SPU 500. SPU 500 preferably executes in either
"interrupt" or "polling" mode for all significant components. In
polling mode, kernel/dispatcher 552 may poll each of the
sections/circuits within SPU 500 and emulate an interrupt for
them. The following interrupts are preferably supported by SPU
500 in the preferred embodiment:

"tick" of RTC 528

interrupt from bus interface 530

• power fail interrupt

• watchdog timer interrupt

• interrupt from encrypt/decrypt engine 522
memory interrupt (e.g., from MMU 540).

When an interrupt occurs, an interrupt controller within
microprocessor 520 may cause the microprocessor to begin

•289-

(0061603.01)

executing an appropriate interrupt handler. An interrupt handler
is a piece of software/firmware provided by kernel/dispatcher 552
that allows microprocessor 520 to perform particular functions
upon the occurrence of an interrupt. The interrupts may be
"vectored" so that different interrupt sources may effectively cause
different interrupt handlers to be executed.

A "timer tick" interrupt is generated when the real-time
RTC 528 "pulses." The timer tick interrupt is processed by a timer
tick interrupt handler to calculate internal device date/time and to
generate timer events for channel processing.

The bus interface unit 530 may generate a series of
interrupts. In the preferred embodiment, bus interface 530,
modeled after a USART, generates interrupts for various
conditions (e.g., "receive buffer full," "transmitter buffer empty,"
and "status word change"). Kernel/dispatcher 552 services the
transmitter buffer empty interrupt by sending the next character
from the transmit queue to the bus interface 530.
Kernel/dispatcher interrupt handler 584 may service the received
buffer full interrupt by reading a character, appending it to the
current buffer, and processing the buffer based on the state of the
service engine for the bus interface 530. Kernel/dispatcher 552
preferably processes a status word change interrupt and addresses
the appropriate send/receive buffers accordingly.

-290-

(0061603.01)

SPU 500 generates a power fail interrupt when it detects an
imminent power fail condition. This may require immediate action
to prevent loss of information. For example, in the preferred
embodiment, a power fail interrupt moves all recently written
information (i.e., "dirty pages") into non-volatile NVRAM 534b,
marks all swap blocks as "swapped out," and sets the appropriate
power fail flag to facilitate recovery processing. Kernel/dispatcher
552 may then periodically poll the "power fail bit" in a status
word until the data is cleared or the power is removed completely.

SPU 500 in the example includes a conventional watchdog
timer that generates watchdog timer interrupts on a regular basis.
A watchdog timer interrupt handler performs internal device
checks to ensure that tampering is not occurring. The internal
clocks of the watchdog timer and RTC 528 are compared to ensure
SPU 500 is not being paused or probed, and other internal checks
on the operation of SPU 500 are made to detect tampering.

The encryption/decryption engine 522 generates an interrupt
when a block of data has been processed. The kernel interrupt
handler 584 adjusts the processing status of the block being
encrypted or decrypted, and passes the block to the next stage of
processing. The next block scheduled for the encryption service
then has its key moved into the encrypt/decrypt engine 522, and
the next cryptographic process started.

-291-

(0061603.01)

A memory management unit 540 interrupt is generated
when a task attempts to access me, ory outside the areas assigned
to it. A memory management interrupt handler traps the request,
and takes the necessary action (e.g., by initiating a control transfer
to memory manager 578 and/or virtual memory manager 580).
Generally, the task will be failed, a page fault exception will be
generated, or appropriate virtual memory page(s) will be paged in.

E. Kernel/Dispatcher Low Level Services 582

Low level services 582 in the preferred embodiment provide
"low level" functions. These functions in the preferred
embodiment may include, for example, power-on initialization,
device POST, and failure recovery routines. Low level services 582
may also in the preferred embodiment provide (either by
themselves or in combination with authentication manager/service
communications manager 564) download response-challenge and
authentication communication protocols, and may provide for
certain low level management of SPU 500 memory devices such as
EEPROM and FLASH memory (either alone or in combination
with memory manager 578 and/or virtual memory manager 580).

F. Kernel/Dispatcher BIU handler 586

BIU handler 586 in the preferred embodiment manages the
bus interface unit 530 (if present). It may, for example, maintain
read and write buffers for the BIU 530, provide BIU startup
initialization, etc.

-292-

(0061603.01)

G. Kernel/Dispatcher DTD Interpreter 590

DTD interpreter 590 in the preferred embodiment handles
data formatting issues. For example, the DTD interpreter 590
may automatically open data structures such as UDEs 1200 based
on formatting instructions contained within DTDs.

The SPE kernel/dispatcher 552 discussed above supports all
of the other services provided by SPE 503. Those other services
are discussed below.

II. SPU Channel Services Manager 662

"Channels" are the basic task processing mechanism of SPE
503 (HPE 655) in the preferred embodiment. ROS 602 provides an
event-driven interface for "methods." A "channel" allows
component assemblies 690 to service events. A "channel" is a
conduit for passing "events" from services supported by SPE 503
(HPE 655) to the various methods and load modules that have
been specified to process these events, and also supports the
assembly of component assemblies 690 and interaction between
component assemblies. In more detail, "channel" 594 is a data
structure maintained by channel manager 593 that "binds"
together one or more load modules 1100 and data structures (e.g.,
UDEs 1200 and/or MDEs 1202) into a component assembly 690. '
Channel services manager 562 causes load module execution
manager 569 to load the component assembly 690 for execution,
and may also be responsible for passing events into the channel

-293-

(0061603.01)

594 for response by a component assembly 690. In the preferred
embodiment, event processing is handled as a message to the
channel service manager 562.

Figure 15 is a diagram showing how the preferred
embodiment channel services manager 562 constructs a "channel"
594, and also shows the relationship between the channel and
component assemblies 690. Briefly, the SPE channel manager 562
establishes a "channel" 594 and an associated "channel header"
596. The channel 594 and its header 596 comprise a data
structure that "binds" or references elements of one or more
component assemblies 690. Thus, the channel 594 is the
mechanism in the preferred embodiment that collects together or
assembles the elements shown in Figure HE into a component
assembly 690 that may be used for event processing.

The channel 594 is set up by the channel services manager
562 in response to the occurrence of an event. Once the channel is
created, the channel services manager 562 may issue function calls
to load module execution manager 568 based on the channel 594.
The load module execution manager 568 loads the load modules
1100 referenced by a channel 594, and requests execution services
by the kernel/dispatcher task manager 576. The kernel/dispatcher
552 treats the event processing request as a task, and executes it
by executing the code within the load modules 1100 referenced by
the channel.

-294-

(0061603.01)

#

The channel services manager 562 may be passed an
identification of the event (e.g., the "event code"). The channel
services manager 562 parses one or more method cores 1000' that
are part of the component assembly(ies) 690 the channel services
manager is to assemble. It performs this parsing to determine
which method(s) and data structure(s) are invoked by the type of
event. Channel manager 562 then issues calls (e.g., to secure
database manager 566) to obtain the methods and data
structure(s) needed to build the component assembly 690. These
called-for method(s) and data structure(s) (e.g., load modules 1100,
UDEs 1200 and/or MDEs 1202) are each decrypted using
encrypt/decrypt manager 556 (if necessary), and are then each
validated using key and tag manager 558. Channel manager 562
constructs any necessary "jump table" references to, in effect,
"link" or "bind" the elements into a single cohesive executable so
the load module(s) can reference data structures and any other
load module(s) in the component assembly. Channel manager 562
may then issue calls to LMEM 568 to load the executable as an
active task.

Figure 15 shows that a channel 594 may reference another
channel. An arbitrary number of channels 594 may be created by
channel manager 594 to interact with one another.

"Channel header" 596 in the preferred embodiment is (or
references) the data structure(s) and associated control program(s)

-295-

(0061603.01)

that queues events from channel event sources, processes these
events, and re = -ases the appropriate tasks specified in the
"channel detail record" for processing. A "channel detail record" in
the preferred embodiment links an event to a "swap block" (i.e.,
5 task) associated with that event. The "swap block" may reference

one or more load modules 1100, UDEs 1200 and private data areas
required to properly process the event. One swap block and a
corresponding channel detail item is created for each different
event the channel can respond to.

10

In the preferred embodiment, Channel Services Manager
562 may support the following (internal) calls to support the
creation and maintenance of channels 562:

Call Name

Source

Description

"Write
Event"

Write

Writes an event to the channel for response by
the channel. The Write Event call thus permit
the caller to insert an event into the event
queue associated with the channel. The event
will be processed in turn by the channel 594.

"Bind
Item"

Ioctl

Binds an item to a channel with the
appropriate processing algorithm. The Biiyl
Item call permits the caller to bind a VDE
item ID to a channel (e.g., to create one or
more swap blocks associated with a channel).
This call may manipulate the contents of
individual swap blocks.

-296-

(0061603.01)

"Unbind
Item"

Ioctl

Unbinds an item from a channel with the
appropriate processing algorithm. The Unbind
Item call permits the caller to break the
binding of an item to a swap block. This call
may manipulate the contents of individual
swap blocks.

SPE RPC Manager 550

As described in connection with Figure 12, the architecture
of ROS 602 is based on remote procedure calls in the preferred
embodiment. ROS 602 includes an RPC Manager 732 that passes
RPC calls between services each of which present an RPC service
interface ("RSI") to the RPC manager. In the preferred
embodiment, SPE 503 (HPE 655) is also built around the same
RPC concept. The SPE 503 (HPE 655) may include a number of
internal modular service providers each presenting an RSI to an
RPC manager 550 internal to the SPE (HPE). These internal
service providers may communicate with each other and/or with
ROS RPC manager 732 (and thus, with any other service provided
by ROS 602 and with external services), using RPC service
requests.

RPC manager 550 within SPE 503 (HPE 655) is not the
same as RPC manager 732 shown in Figure 12, but it performs a
similar function within the SPE (HPE): it receives RPC requests
and passes them to the RSI presented by the service that is to

-297 -

(0061603.01)

fulfill the request. In the preferred embodiment, requests are
paired between ROS RPC manager 732 and the outside world (i.e.,
SPE device driver 736) via the SPE (HPE) Kernel/Dispatcher 552.
Kernel/Dispatcher 552 may be able to service certain RPC requests
5 itself, but in general it passes received requests to RPC manager

550 for routing to the appropriate service internal to the SPE
(HPE). In an alternate embodiment, requests may be passed
directly between the HPE, SPE, API, Notification interface, and
other external services instead of routing them through the ROS

10 RPC manager 732. The decision on which embodiment to use is

part of the scalability of the system; some embodiments are more
efficient than others under various traffic loads and system
configurations. Responses by the services (and additional service
requests they may themselves generate) are provided to RPC

15 Manager 550 for routing to other service(s) internal or external to

SPE 503 (HPE 655).

SPE RPC Manager 550 and its integrated service manager
uses two tables to dispatch remote procedure calls: an RPC

20 services table, and an optional RPC dispatch table. The RPC

services table describes where requests for specific services are to
be routed for processing. In the preferred embodiment, this table
is constructed in SPU RAM 534a or NVRAM 534b, and lists each
RPC service "registered" within SPU 500. Each row of the RPC

25 services table contains a service ID, its location and address, and a

control byte. In simple implementations, the control byte indicates

-298-

(0061603.01)

only that the service is provided internally or externally. In more
complex implementations, the control byte can indicate an
instance of the service (e.g., each service may have multiple
"instances" in a multi-tasking environment). ROS RPC manager
732 and SPE 503 may have symmetric copies of the RPC services
table in the preferred embodiment. If an RPC service is not found
in the RPC services table, SPE 503 may either reject it or pass it
to ROS RPC manager 732 for service.

The SPE RPC manager 550 accepts the request from the
RPC service table and processes that request in accordance with
the internal priorities associated with the specific service. In SPE
503, the RPC service table is extended by an RPC dispatch table.
The preferred embodiment RPC dispatch table is organized as a
list of Load Module references for each RPC service supported
internally by SPE 503. Each row in the table contains a load
module ID that services the call, a control byte that indicates
whether the call can be made from an external caller, and whether
the load module needed to service the call is permanently resident
in SPU 500. The RPC dispatch table may be constructed in SPU
ROM 532 (or EEPROM) when SPU firmware 508 is loaded into
the SPU 500. If the RPC dispatch table is in EEPROM, it flexibly
allows for updates to the services without load module location
and version control issues.

-299-

(0061603.01)

In the preferred embodiment, SPE RPC manager 550 first
references a service request against the RPC service table to
determine the location of the service manager that may service the
request. The RPC manager 550 then routes the service request to
the appropriate service manager for action. Service requests are
handled by the service manager within the SPE 503 using the
RPC dispatch table to dispatch the request. Once the RPC
manager 550 locates the service reference in the RPC dispatch
table, the load module that services the request is called and
loaded using the load module execution manager 568. The load
module execution manager 568 passes control to the requested
load module after performing all required context configuration, or
if necessary may first issue a request to load it from the external
management files 610.

SPU Time Base Manager 554

The time base manager 554 supports calls that relate to the
real time clock CRTC") 528. In the preferred embodiment, the
time base manager 554 is always loaded and ready to respond to
time based requests*

The table below lists examples of basic calls that may be
supported by the time base manager 554:

Call Name | Description

Independent requests

-300-

(0061603.01)

Call Name

Description

Get Time

Returns the time (local, GMT, or ticks).

Set time

Sets the time in the RTC 528. Access to this
command may be restricted to a VDE
administrator.

Adjust time

Changes the time in the RTC 528. Access to
this command may be restricted to a VDE
administrator.

Set Time
Parameter

Set GMT / local time conversion and the
current and allowable magnitude of user
adjustments to RTC 528 time.

Channel Services Manager Requests

Bind Time

Bind timer services to a channel as an event
source.

Unbind
Time

Unbind timer services from a channel as an
event source.

Set Alarm

Sets an alarm notification for a specific time.
The user will be notified by an alarm event
at the time of the alarm. Parameters to this
request determine the event, frequency, and
requested processing for the alarm.

Clear Alarm

Cancels a requested alarm notification.

SPU Encryption/Decryption Manager 556

The Encryption/Deayption Manager 556 supports calls to
the various encryption/decryption techniques supported by SPE
503/HPE 655. It may be supported by a hardware-based
encryption/decryption engine 522 within SPU 500. Those
encryption/decryption technologies not supported by SPU
encrypt/decrypt engine 522 may be provided by encrypt/decrypt
manager 556 in software. The primary bulk encryption/decryption

-301-

(0061603.01)

load modules preferably are loaded at all times, and the load
modules necessary for other algorithms are preferably paged in as
needed. Thus, if the primary bulk encryption/decryption algorithm
is DES, only the DES load modules need be permanently resident
in the RAM 534a of SPE 503/HPE 655.

The following are examples of RPC calls supported by
Encrypt/Decrypt Manager 556 in the preferred embodiment:

Call Name

Description

PK Encrypt

Encrypt a block using a PK (public key)
algorithm.

PK Decrypt

Decrypt a block using a PK algorithm.

DES
Encrypt

Encrypt a block using DES.

DES
Decrypt

Decrypt a block using DES.

RC-4
Encrypt

Encrypt a block using the RC-4 (or other
bulk encryption) algorithm.

RC-4
Decrypt

Decrypt a block using the RC-4 (or other
bulk encryption) algorithm.

Initialize

DES

Instance

Initialize DES instance to be used.

Initialize

RC-4

Instance

Initialize RC-4 instance to be used.

-302-

(0061603.01)

Initialize

MD5

Instance

Initialize MD5 instance to be used.

Process
MD5 Block

Process MD5 block.

The call parameters passed may include the key to be used;
mode (encryption or decryption); any needed Initialization Vectors;
the desired cryptographic operating (e.g., type of feedback); the
identification of the cryptographic instance to be used; and the
start address, destination address, and length of the block to be
encrypted or decrypted.

SPU Key and Tag Manager 558

The SPU Key and Tag Manager 558 supports calls for key
storage, key and management file tag look up, key convolution,
and the generation of random keys, tags, and transaction numbers.

The following table shows an example of a list of SPE/HPE
key and tag manager service 558 calls:

Call Nam*

Description

Key Requests

Get Key

Retrieve the requested key.

Set Key

Set (store) the specified key.

Generate Key

Generate a key (pair) for a specified algorithm.

Generate Convoluted
Key

Generate a key using a specified convolution
algorithm and algorithm parameter block.

-303-

(0061603.01)

Get Convolution
Algorithm

Return the currently set (default) convolution
parameters for a specific convolution algorithm.

Set Convolution
Algorithm

Sets the convolution parameters for a specific
convolution algorithm (calling routine must provide a
tag to read returned contents).

Tag Request!

Get Tag

Get the validation (or other) tag for a specific VDE
Item ID.

Set Tag

Set the validation (or other) tag for a specific VDE
Item ID to a known value.

Calculate Hash Block
Number

Calculate the "hash block number" for a specific VDE
Item ID.

Set Hash Parameters

Set the hash parameters and hash algorithm. Forces
a resynchronization of the hash table.

Get Hash Parameters

Retrieve the current hash parameters/algorithm.

Synchronize
Management Files

Synchronize the management files and rebuild the
hash block tables based on information found in the
tables. Reserved for VDE administrator.

Keys and tags may be securely generated within SPE 503
(HPE 655) in the preferred embodiment. The key generation
algorithm is typically specific to each type of encryption supported.
The generated keys may be checked for cryptographic weakness
before they are used. A request for Key and Tag Manager 558 to
generate a key, tag and/or transaction number preferably takes a
length as its input parameter. It generates a random number (or
other appropriate key value) of the requested length as its output.

The key and tag manager 558 may support calls to retrieve
specific keys from the key storage areas in SPU 500 and any keys
stored external to the SPU. The basic format of the calls is to
request keys by key type and key number. Many of the keys are

-304-

(0061603.01)

10

15

20

periodically updated through contact with the VDE administrator,
and are kept within SPU 500 in NVRAM 534b or EEPROM
because these memories are secure, updatable and non- volatile.

SPE 503/HPE 655 may support both Public Key type keys
and Bulk Encryption type keys. The public key (PK) encryption
type keys stored by SPU 500 and managed by key and tag
manager 558 may include, for example, a device public key, a
device private key, a PK certificate, and a public key for the
certificate. Generally, public keys and certificates can be stored
externally in non-secured memory if desired, but the device private
key and the public key for the certificate should only be stored
internally in an SPU 500 EEPROM or NVRAM 534b. Some of the
types of bulk encryption keys used by the SPU 500 may include,
for example, general-purpose bulk encryption keys, administrative
object private header keys, stationary object private header keys,
traveling object private header keys, downloadAnitialization keys,
backup keys, trail keys, and management file keys.

As discussed above, preferred embodiment Key and Tag
Manager 558 supports requests to adjust or convolute keys to
make new keys that are produced in a deterministic way
dependent on site and/or time, for example. Key convolution is an
algorithmic process that acts on a key and some set of input
parameters) to yield a new key. It can be used, for example, to
increase the number of keys available for use without incurring

-305-

(0061603.01)

additional key storage space. It may also be used, for example, as
a process to "age" keys by incorporating the value of real-time RTC
528 as parameters. It can be used to make keys site specific by
incorporating aspects of the site ID as parameters.

Key and Tag Manager 558 also provides services relating to
tag generation and management. In the preferred embodiment,
transaction and access tags are preferably stored by SPE 503
(HPE 655) in protected memory (e.g., within the NVRAM 534b of
SPU 500). These tags may be generated by key and tag manager
558. They are used to, for example, check access rights to,
validate and correlate data elements. For example, they may be
used to ensure components of the secured data structures are not
tampered with outside of the SPU 500. Key and tag manager 558
may also support a trail transaction tag and a communications
transaction tag.

SPU Summary Services Manager 560

SPE 503 maintains an audit trail in reprogrammable non-
volatile memory within the SPU 500 and/or in secure database
610. This audit trail may consist of an audit summary of budget
activity for financial purposes, and a security summary of SPU
use. When a request is made to the SPU, it logs the request as
having occurred and then notes whether the request succeeded or
failed. All successful requests may be summed and stored by type

-306-

(0061603.01)

6

in the SPU 500. Failure information, including the elements listed
below, may be saved along with details of the failure:

Control Information Retained in
an SPE on Access Failures

Object ID

User ID

Type of failure

Time of failure

This information may be analyzed to detect cracking attempts or
to determine patterns of usage outside expected (and budgeted)
norms. The audit trail histories in the SPU 500 may be retained
until the audit is reported to the appropriate parties. This will
allow both legitimate failure analysis and attempts to
cryptoanalyze the SPU to be noted.

Summary services manager 560 may store and maintain this
internal summary audit information. This audit information can
be used to check for security breaches or other aspects of the
operation of SPE 503. The event summaries may be maintained,
analyzed and used by SPE 503 (HPE 655) or a VDE administrator
to determine and potentially limit abuse of electronic appliance
600. In the preferred embodiment, such parameters may be stored
in secure memory (e.g., within the NVRAM 534b of SPU 500).

-307-

(0061603.01)

There are two basic structures for which summary services
are used in the preferred embodiment. One (the "event summary
data structure") is VDE administrator specific and keeps track of
events. The event summary structure may be maintained and
audited during periodic contact with VDE administrators. The
other is used by VDE administrators and/or distributors for overall
budget. A VDE administrator may register for event summaries
and an overall budget summary at the time an electronic
appliance 600 is initialized. The overall budget summary may be
reported to and used by a VDE administrator in determining
distribution of consumed budget (for example) in the case of
corruption of secure management files 610. Participants that
receive appropriate permissions can register their processes (e.g.,
specific budgets) with summary services manager 560, which may
then reserve protected memory space (e.g., within NVRAM 534b)
and keep desired use and/or access parameters. Access to and
modification of each summary can be controlled by its own access
tag.

The following table shows an example of a list of PPE
summary service manager 560 service calls:

Call Name

Description

Create summary
info

Create a summary service if the user
has a "ticket" that permits her to
request this service.

-308-

(0061603.01)

Get value

Return the current value of the
summary service, 'iiie caller must
present an appropriate tag (and/or
"ticket") to use this request.

Set value

Set the value of a summary service.

Increment

Increment the specified summary
service(e.g., a scalar meter summary
data area). The caller must present
an appropriate tag (and/or "ticket") to
use this request.

Destroy

Destroy the specified summary
service if the user has a tag and/or
"ticket" that permits them to request
this service.

In the preferred embodiment, the event summary data
structure uses a fixed event number to index into a look up table.
The look up table contains a value that can be configured as a
counter or a counter plus limit. Counter mode may be used by
VDE administrators to determine device usage. The limit mode
may be used to limit tampering and attempts to misuse the
electronic appliance 600. Exceeding a limit will result in SPE 503
(HPE 655) refusing to service user requests until it is reset by a
VDE administrator. Calls to the system wide event summary
process may preferably be built into all load modules that process
the events that are of interest.

The following table shows examples of events that may be
separately metered by the preferred embodiment event summary
data structure:

-309-

(0061603.01)

Event Type

Successful Initialization completed successfully.

Events Use r authentication accepted.

Communica tions established.

Channel loads set for specified values.

Decryption completed-

Key information updated.

New budget created or existing budget

updated.

New billing information generated or

existing billing updated.

New meter set up or existing meter

updated.

New PERC created or existing PERC

updated.

New objects registered.

Administrative objects successfully

processed.

Audit processed successfully.

All other events.

Failed Events Initialization failed.

Authentication failed.

Communic ation attempt failed.

Request to load a channel failed.

Validation attempt unsuccessful.

Link to subsidiary item failed
correlation tag match.

Authorization attempt failed.

Decryption attempt failed.

Available budget insufficient to
complete requested procedure.

Audit did not occur.

-310-

(0061603 01)

Administrative object did not process

correctly.

Other failed events.

Another, "overall currency budget" summary data structure
maintained by the preferred embodiment summary services
manager 560 allows registration of VDE electronic appliance 600.
The first entry is used for an overall currency budget consumed
value, and is registered by the VDE administrator that first
initializes SPE 503 (HPE 655). Certain currency consuming load
modules and audit load modules that complete the auditing
process for consumed currency budget may call the summary
services manager 560 to update the currency consumed value.
Special authorized load modules may have access to the overall
currency summary, while additional summaries can be registered
for by individual providers.

SPE Authentication Manager/Service CommunicationB
Manager 564

The Authentication Manager/Service Communications
Manager 564 supports calls for user password validation and
"ticket" generation and validation. It may also support secure
communications between SPE 503 and an external node or device
(e.g., a VDE administrator or distributor). It may support the
following examples of authentication-related service requests in
the preferred embodiment:

-311-

(0061603.01)

5

Call Name | Description

User Services .

Create User

Creates a new user and stores Name services
Records (NSRs) for use by the Name Services
Manager 752.

Authenticate
User

Authenticates a user for use of the system. This
request lets the caller authenticate as a specific
user ID. Group membership is also
authenticated by this request. The
authentication returns a n ticket a for the user.

Delete User

Deletes a user's NSR and related records.

Ticket Services

Generate
Ticket

Generates a "ticket" for use of one or more
services.

Authenticate
Ticket

Authenticates a "ticket."

Not included in the table above are calls to the secure
15 communications service. The secure communications service

provided by manager 564 may provide (e.g., in conjunction with
low-level services manager 582 if desired) secure communications
based on a public key (or others) challenge-response protocol. This
protocol is discussed in further detail elsewhere in this document.
20 Tickets identify users with respect to the electronic appliance 600

in the case where the appliance may be used by multiple users.
Tickets may be requested by and returned to VDE software
applications through a ticket-granting protocol (e.g., Kerberos).
VDE components may require tickets to be presented in order to
25 authorize particular services.

-312-

(0061603.01)

SPE Secure Database Manager 566

Secure database manager 566 retrieves, maintains and
stores secure database records within secure database 610 on
memory external to SPE 503. Many of these secure database files
5 610 are in encrypted form. All secure information retrieved by

secure database manager 566 therefore must be decrypted by
encrypt/decrypt manager 556 before use. Secure information (e.g.,
records of use) produced by SPE 503 (HPE 655) which must be
stored external to the secure execution environment are also
10 encrypted by encrypt/decrypt manager 556 before they are stored

via secure database manager 566 in a secure database file 610.

For each VDE item loaded into SPE 503, Secure Database
manager 566 in the preferred embodiment may search a master

15 list for the VDE item ID, and then check the corresponding

transaction tag against the one in the item to ensure that the item
provided is the current item. Secure Database Manager 566 may
maintain list of VDE item ID and transaction tags in a "hash
structure" that can be paged into SPE 503 to quickly locate the

20 appropriate VDE item ID. In smaller systems, a look up table

approach may be used. In either case, the list should be
structured as a pagable structure that allows VDE item ID to be
located quickly.

25 The "hash based" approach may be used to sort the list into

"hash buckets" that may then be accessed to provide more rapid

-313-

(0061603.01)

10

and efficient location of items in the list. In the "hash based"
approach, the VDE item liJs are "hashed" through a subset of the
full item ID and organized as pages of the "hashed" table. Each
"hashed" page may contain the rest of the VDE item ID and
current transaction tag for each item associated with that page.
The "hash" table page number may be derived from the
components of the VDE item ID, such as distribution ID, item ID,
site ID, user ID, transaction tag, creator ID, type and/or version.
The hashing algorithm (both the algorithm itself and the
parameters to be hashed) may be configurable by a VDE
administrator on a site by site basis to provide optimum hash page
use. An example of a hash page structure appears below:

15

20

25

Field

Hash Page Header

Distributor ID

Item ID

Site ID

User ID

Transaction Tag

Hash Page Entry

Creator ID

Item ID

Type

Version

Transaction Tag

-314-

(0061603.01)

In this example, each hash page may contain all of the VDE
item IDs and transaction tags for items that have identical
distributor ID, item ID, and user ID fields (site ID will be fixed for
a given electronic appliance 600). These four pieces of information
5 may thus be used as hash algorithm parameters.

The "hash" pages may themselves be frequently updated,
and should carry transaction tags that are checked each time a
"hash" page is loaded. The transaction tag may also be updated
10 each time a "hash" page is written out.

As an alternative to the hash-based approach, if the number
of updatable items is kept small (such as in a dedicated consumer
electronic appliance 600), then assigning each updatable item a
15 unique sequential site record number as part of its VDE item ID

may allow a look up table approach to be used. Only a small
number of bytes of transaction tag are needed per item, and a
table transaction tag for all frequently updatable items can be
kept in protected memory such as SPU NVRAM 534b.

20

Random Value Generator Manager 565

Random Value Generator Manager 565 may generate
random values. If a hardware-based SPU random value generator
542 is present, the Random Value Generator Manager 565 may
25 use it to assist in generating random values.

-315-

(0061603.01)

10

Other SPE RPC Services 692

Other authorized RPC services may be included in SPU 500
by having them "register" themselves in the RPC Services Table
and adding their entries to the RPC Dispatch Table. For example,
one or more component assemblies 690 may be used to provide
additional services as an integral part of SPE 503 and its
associated operating system. Requests to services not registered
in these tables will be passed out of SPE 503 (HPE 655) for
external servicing.

SPE 603 Performance Coneiderations

Performance of SPE 503 (HPE 655) is a function of:

• complexity of the component assemblies used

• number of simultaneous component assembly
15 operations

amount of internal SPU memory available
speed of algorithm for block encryption/decryption

The complexity of component assembly processes along with
20 the number of simultaneous component assembly processes is

perhaps the primary factor in determining performance. These
factors combine to determine the amount of code and data and
must be resident in SPU 500 at any one time (the minimum device
size) and thus the number of device size "chunks" the processes
25 must be broken down into. Segmentation inherently increases run
time size over simpler models. Of course, feature limited versions

• 316-

(0061603.01)

9

of SPU 500 may be implemented using significantly smaller
amounts of RAM 534. "Aggregate* load modules as described
above may remove flexibility in configuring VDE structures and
also further limit the ability of participants to individually update
otherwise separated elements, but may result in a smaller
minimum device size. A very simple metering version of SPU 500
can be constructed to operate with minimal device resources.

The amount of RAM 534 internal to SPU 500 has more
impact on the performance of the SPE 503 than perhaps any other
aspect of the SPU. The flexible nature of VDE processes allows
use of a large number of load modules, methods and user data
elements. It is impractical to store more than a small number of
these items in ROM 532 within SPU 500. Most of the code and
data structures needed to support a specific VDE process will need
to be dynamically loaded into the SPU 500 for the specific VDE
process when the process is invoked. The operating system within
SPU 500 then may page in the necessary VDE items to perform
the process. The amount of RAM 534 within SPU 500 will directly
determine how large any single VDE load module plus its required
data can be, as well as the number of page swaps that will be
necessary to run a VDE process. The SPU I/O speed,
encryption/decryption speed, and the amount of internal memory
532, 534 will directly affect the number of page swaps required in
the device. Insecure external memory may reduce the wait time

-317-

(0061603.01)

for swapped pages to be loaded into SPU 500, but will still incur
substantial encryption/decryption penalty for e? rh page.

In order to maintain security, SPE 503 must encrypt and
cryptographically seal each block being swapped out to a storage
device external to a supporting SPU 500, and must similarly
decrypt, verify the cryptographic seal for, and validate each block
as it is swapped into SPU 500. Thus, the data movement and
encryption/decryption overhead for each swap block has a very
large impact on SPE performance.

The performance of an SPU microprocessor 520 may not
significantly impact the performance of the SPE 503 it supports if
the processor is not responsible for moving data through the
encrypt/decrypt engine 522.

VDE Secure Database 610

VDE 100 stores separately deliverable VDE elements in a
secure (e.g., encrypted) database 610 distributed to each VDE
electronic appliance 610. The database 610 in the preferred
embodiment may store and/or manage three basic classes of VDE
items:

VDE objects,

VDE process elements, and
VDE data structures.

-318-

(0061603.01)

The following table lists examples of some of the VDE items
stored in or managed by information stored in secure database
610:

-319-

(0061603.01)

Class

Brief Description

Objects

Content Objects

Provide a container for content.

Administrative
Objects

Provide a container for information

Traveling Objects

Provide a container for content and

pnnf*Tnl lnfoTmatrinn

Smart Obipcts

Provide a container for (user-
specified) processes and data.

Process
Elements

Method Cores

Provide a mechanism to relate
events to control mechanisms and
permissions.

Load Modules
TLMs a )

Secure (tamper-resistant) executable
code.

Method Data

Elements

CMDEs")

Independently deliverable data
structures used to control/customize
methods.

Data

Structures

Permissions
Records ("PERCs")

Permissions to use objects;
"blueprints" to build component
assemblies.

User Data

Elements

CUDEs")

Basic data structure for storing
information used in conjunction with
load modules.

Administrative
Data Structures

Used by VDE node to maintain
administrative information.

Each electronic appliance 600 may have an instance of a
10 secure database 610 that securely maintains the VDE items.

Figure 16 shows one example of a secure database 610. The

-320-

(0061603.01)

secure database 610 shown in this example includes the following
VDE-protected items:

one or more PERCs 808;

• methods 1000 (including static and dynamic method
5 "cores" 1000, and MDEs 1202);

Static UDEs 1200a and Dynamic UDEs 1200b; and

• load modules 1100.

Secure database 610 may also include the following
10 additional data structures vised and maintained for administrative

purposes:

• an "object registry" 450 that references an object
storage 728 containing one or more VDE objects;

• name service records 452; and

15 • configuration records 454 (including site configuration

records 456 and user configuration records 458).

Secure database 610 in the preferred embodiment does not
include VDE objects 300, but rather references VDE objects stored,
20 for example, on file system 687 and/or in a separate object

repository 728. Nevertheless, an appropriate "starting point" for
understanding VDE-protected information may be a discussion of
VDE objects 300.

-321-

(0061603.01)

VDE Objects 300

VDE 100 provides a media independent container model for
encapsulating content. Figure 17 shows an example of a "logical"
structure or format 800 for an object 300 provided by the preferred
embodiment.

The generalized "logical object" structure 800 shown in
Figure 17 used by the preferred embodiment supports digital
content delivery over any currently used media. "Logical object" in
the preferred embodiment may refer collectively to: content;
computer software and/or methods used to manipulate, record,
and/or otherwise control use of said content; and permissions,
limitations, administrative control information and/or
requirements applicable to said content, and/or said computer
software and/or methods. Logical objects may or may not be
stored, and may or may not be present in, or accessible to, any
given electronic appliance 600. The content portion of a logical
object may be organized as information contained in, not contained
in, or partially contained in one or more objects.

Briefly, the Figure 17 "logical object" structure 800 in the
preferred embodiment includes a public header 802, private header
804, a "private body** 806 containing one or more methods 1000,
permissions record(s) (PERC) 808 (which may include one or more
key blocks 810), and one or more data blocks or areas 812. These
elements may be "packaged" within a "container" 302. This

-322-

(0061603.01)

generalized, logical object structure 800 is used in the preferred
embodiment for different types of VDE objects 300 categorized by
the type and location of their content.

The "container" concept is a convenient metaphor used to
give a name to the collection of elements required to make use of
content or to perform an administrative-type activity. Container
302 typically includes identifying information, control structures
and content (e.g., a property or administrative data). The term
"container" is often (e.g., Bento/OpenDoc and OLE) used to
describe a collection of information stored on a computer system's
secondary storage system(s) or accessible to a computer system
over a communications network on a "server's" secondary storage
system. The "container" 302 provided by the preferred embodiment
is not so limited or restricted. In VDE 100, there is no
requirement that this information is stored together, received at
the same time, updated at the same time, used for only a single
object, or be owned by the same entity. Rather, in VDE 100 the
container concept is extended and generalized to include real-time
content and/or online interactive content passed to an electronic
appliance over a cable, by broadcast, or communicated by other
electronic communication means.

Thus, the "complete" VDE container 302 or logical object
structure 800 may not exist at the user's location (or any other
location, for that matter) at any one time. The "logical object" may

-323 -

(0061603.01)

exist over a particular period of time (or periods of time), rather
than all at once. This concept includes the notion of a "virtual
container" where important container elements may exist either as
a plurality of locations and/or over a sequence of time periods
(which may or may not overlap). Of course, VDE 100 containers
can also be stored with all required control structures and content
together. This represents a continuum: from all content and
control structures present in a single container, to no locally
accessible content or container specific control structures.

Although at least some of the data representing the object is
typically encrypted and thus its structure is not discernible, within
a PPE 650 the object may be viewed logically as a "container" 302
because its structure and components are automatically and
transparently decrypted.

A container model merges well with the event-driven
processes and ROS 602 provided by the preferred embodiment.
Under this model, content is easily subdivided into small, easily
manageable pieces, but is stored so that it maintains the
structural richness inherent in unencrypted content. An object
oriented container model (such as Bento/OpenDoc or OLE) also
provides many of the necessary "hooks" for inserting the necessary
operating system integration components, and for defining the
various content specific methods.

-324-

(0061603.01)

•

9

In more detail, the logical object structure 800 provided by
the preferred embodiment includes a public (or unencrypted)
header 802 that identifies the object and may also identify one or
more owners of rights in the object and/or one or more distributors
of the object. Private (or encrypted) header 804 may include a
part or all of the information in the public header and further, in
the preferred embodiment, will include additional data for
validating and identifying the object 300 when a user attempts to
register as a user of the object with a service clearinghouse, VDE
administrator, or an SPU 500. Alternatively, information
identifying one or more rights owners and/or distributors of the
object may be located in encrypted form within encrypted header
804, along with any of said additional validating and identifying
data.

Each logical object structure 800 may also include a "private
body" 806 containing or referencing a set of methods 1000 (i.e.,
programs or procedures) that control use and distribution of the
object 300. The ability to optionally incorporate different methods
1000 with each object is important to making VDE 100 highly
configurable. Methods 1000 perform the basic function of defining
what users (including, where appropriate, distributors, client
administrators, etc.), can and cannot do with an object 300. Thus,
one object 300 may come with relatively simple methods, such as
allowing unlimited viewing within a fixed period of time for a fixed
fee (such as the newsstand price of a newspaper for viewing the

-325 -

(0061603.01)

newspaper for a period of one week after the paper's publication),
while other objects may be controlled by much more complicated
(e.g., billing and usage limitation) methods.

Logical object structure 800 shown in Figure 17 may also
include one or more PERCs 808. PERCs 808 govern the use of an
object 300, specifying methods or combinations of methods that
must be used to access or otherwise use the object or its contents.
The permission records 808 for an object may include key block(s)
810, which may store decryption keys for accessing the content of
the encrypted content stored within the object 300.

The content portion of the object is typically divided into
portions called data blocks 812. Data blocks 812 may contain any
sort of electronic information, such as, "content," including
computer programs, images, sound, VDE administrative
information, etc. The size and number of data blocks 812 may be
selected by the creator of the property. Data blocks 812 need not
all be the same size (size may be influenced by content usage,
database format, operating system, security and/or other
considerations). Security will be enhanced by using at least one
key block 810 for each data block 812 in the object, although this
is not required. Key blocks 810 may also span portions of a
plurality of data blocks 812 in a consistent or pseudo-random
manner. The spanning may provide additional security by
applying one or more keys to fragmented or seemingly random

-326-

(0061603.01)

pieces of content contained in an object 300, database, or other
information entity.

Many objects 300 that are distributed by physical media
5 and/or by "out of channel" means (e.g., redistributed after receipt

by a customer to another customer) might not include key blocks
810 in the same object 300 that is used to transport the content
protected by the key blocks. This is because VDE objects may
contain data that can be electronically copied outside the confines

10 of a VDE node. If the content is encrypted, the copies will also be

encrypted and the copier cannot gain access to the content unless
she has the appropriate decryption key(s). For objects in which
maintaining security is particularly important, the permission
records 808 and key blocks 810 will frequently be distributed

15 electronically, using secure communications techniques (discussed

below) that are controlled by the VDE nodes of the sender and
receiver. As a result, permission records 808 and key blocks 810
will frequently, in the preferred embodiment, be stored only on
electronic appliances 600 of registered users (and may themselves

20 be delivered to the user as part of a registration/initialization

process). In this instance, permission records 808 and key blocks
810 for each property can be encrypted with a private DES key
that is stored only in the secure memory of an SPU 500, making
the key blocks unusable on any other user's VDE node.

25 Alternately, the key blocks 810 can be enciypted with the end

user's public key, making those key blocks usable only to the SPU

-327 -

(0061603.01)

500 that stores the corresponding private key (or other, acceptably
secure, encryption/security techniques can be employed).

In the preferred embodiment, the one or more keys used to
encrypt each permission record 808 or other management
information record will be changed every time the record is
updated (or after a certain one or more events). In this event, the
updated record is re-encrypted with new one or more keys.
Alternately, one or more of the keys used to encrypt and decrypt
management information may be "time aged" keys that
automatically become invalid after a period of time. Combinations
of time aged and other event triggered keys may also be desirable;
for example keys may change after a certain number of accesses,
and/or after a certain duration of time or absolute point in time.
The techniques may also be used together for any given key or
combination of keys. The preferred embodiment procedure for
constructing time aged keys is a one-way convolution algorithm
with input parameters including user and site information as well
as a specified portion of the real time value provided by the SPU
RTC 528. Other techniques for time aging may also be used,
including for example techniques that use only user or site
information, absolute points in time, and/or duration of time
related to a subset of activities related to using or decrypting VDE
secured content or the use of the VDE system.

-328 -

(0061603.01)

VDE 100 supports many different types of "objects" 300
having the logical object structure 800 shown in Figure 17.
Objects may be classified in one sense based on whether the
protection information is bound together with the protected
information. For example, a container that is bound by its
control(s) to a specific VDE node is called a "stationary object" (see
Figure 18). A container that is not bound by its control
information to a specific VDE node but rather carries sufficient
control and permissions to permit its use, in whole or in part, at
any of several sites is called a Traveling Object" (see Figure 19).

Objects may be classified in another sense based on the
nature of the information they contain. A container with
information content is called a "Content Object" (see Figure 20). A
container that contains transaction information, audit trails, VDE
structures, and/or other VDE control/administrative information is
called an "Administrative Object" (see Figure 21). Some
containers that contain executable code operating under VDE
control (as opposed to being VDE control information) are called
"Smart Objects." Smart Objects support user agents and provide
control for their execution at remote sites. There are other
categories of objects based upon the location, type and access
mechanism associated with their content, that can include
combinations of the types mentioned above. Some of these objects
supported by VDE 100 are described below. Some or all of the

-329-

(0061603.01)

data blocks 812 shown in Figure 17 may include "embedded"
content, administrative, stationary, traveling and/or other objects.

1. Stationary Objects

Figure 18 shows an example of a "Stationary Object"
structure 850 provided by the preferred embodiment. "Stationary
Object" structure 850 is intended to be used only at specific VDE
electronic appliance/installations that have received explicit
permissions to use one or more portions of the stationary object.
Therefore, stationary object structure 850 does not contain a
permissions record (PERC) 808; rather, this permissions record is
supplied and/or delivered separately (e.g., at a different time, over
a different path, and/or by a different party) to the
appliance/installation 600. A common PERC 808 may be used
with many different stationary objects.

As shown in Figure 18, public header 802 is preferably
"plaintext" (i.e., unencrypted). Private header 804 is preferably
encrypted using at least one of many "private header keys."
Private header 804 preferably also includes a copy of identification
elements from public header 802, so that if the identification
information in the plaintext public header is tampered with, the
system can determine precisely what the tamperer attempted to
alter. Methods 1000 may be contained in a section called the
"private body" 806 in the form of object local methods, load
modules, and/or user data elements. This private body (method)

-330-

(0061603.01)

section 806 is preferably encrypted using one or more private body
keys contained in the separate permissions recc rd 808. The data
blocks 812 contain content (information or administrative) that
may be encrypted using one or more content keys also provided in
5 permissions record 808.

2. Traveling Objects

Figure 19 shows an example of a "traveling object" structure
860 provided by the preferred embodiment- Traveling objects are
10 objects that cany with them sufficient information to enable at

least some use of at least a portion of their content when they
arrive at a VDE node.

Traveling object structure 860 may be the same as
15 stationary object structure 850 shown in Figure 18 except that the

traveling object structure includes a permissions record (PERC)
808 within private header 804. The inclusion of PERC 808 within
traveling object structure 860 permits the traveling object to be
used at any VDE electronic appliance/participant 600 (in
20 accordance with the methods 1000 and the contained PERC 808).

Traveling" objects are a class of VDE objects 300 that can
specifically support "out of channel* 1 distribution. Therefore, they
include key block(s) 810 and are transportable from one electronic
25 appliance 600 to another. Traveling objects may come with a quite

limited usage related budget so that a user may use, in whole or

-331-

(0061603.01)

part, content (such as a computer program, game, or database) and
evah* > te whether to acquire a license or further license or
purchase object content. Alternatively, traveling object PERCs 808
may contain or reference budget records with, for example:

(a) budget(s) reflecting previously purchased rights or
credit for future licensing or purchasing and enabling
at least one or more types of object content usage,
and/or

(b) budget(s) that employ (and may debit) available
credit(s) stored on and managed by the local VDE
node in order to enable object content use, and/or

(c) budget(s) reflecting one or more maximum usage
criteria before a report to a local VDE node (and,
optionally, also a report to a clearinghouse) is required
and which may be followed by a reset allowing further
usage, and/or modification of one or more of the
original one or more budget(s).

As with standard VDE objects 300, a user may be required
to contact a clearinghouse service to acquire additional budgets if
the user wishes to continue to use the traveling object after the
exhaustion of an available budget(s) or if the traveling object (or a
copy thereof) is moved to a different electronic appliance and the
new appliance does not have a available credit budget(s) that

-332-

(0061603.01)

corresponds to the requirements stipulated by permissions record
808.

For example, a traveling object PERC 808 may include a
reference to a required budget VDE 1200 or budget options that
may be found and/or are expected to be available. For example,
the budget VDE may reference a consumer's VISA, MC, AMEX, or
other "generic" budget that may be object independent and may be
applied towards the use of a certain or classes of traveling object
content (for example any movie object from a class of traveling
objects that might be Blockbuster Video rentals). The budget VDE
itself may stipulate one or more classes of objects it may be used
with, while an object may specifically reference a certain one or
more generic budgets. Under such circumstances, VDE providers
will typically make information available in such a manner as to
allow correct referencing and to enable billing handling and
resulting payments.

Traveling objects can be used at a receiving VDE node
electronic appliance 600 so long as either the appliance carries the
correct budget or budget type (e.g. sufficient credit available from
a clearinghouse such as a VISA budget) either in general or for
specific one or more users or user classes, or so long as the
traveling object itself carries with it sufficient budget allowance or
an appropriate authorization (e.g., a stipulation that the traveling
object may be used on certain one or more installations or

-333-

(0061603.01)

installation classes or users or user classes where classes
correspond to a specific subset of installations or users who are
represented by a predefined class identifiers stored in a secure
database 610), After receiving a traveling object, if the user
5 (and/or installation) doesn't have the appropriate budget(s) and/or

authorizations, then the user could be informed by the electronic
appliance 600 (using information stored in the traveling object) as
to which one or more parties the user could contact. The party or
parties might constitute a list of alternative clearinghouse
10 providers for the traveling object from which the user selects his

desired contact).

As mentioned above, traveling objects enable objects 300 to
be distributed *Out-Of-Channel; a that is, the object may be

15 distributed by an unauthorized or not explicitly authorized

individual to another individual. "Out of channel" includes paths
of distribution that allow, for example, a user to directly
redistribute an object to another individual. For example, an
object provider might allow users to redistribute copies of an object

20 to their friends and associates (for example by physical delivery of

storage media or by delivery over a computer network) such that if
a friend or associate satisfies any certain criteria required for use
of said object, he may do so.

25 For example, if a software program was distributed as a

traveling object, a user of the program who wished to supply it or

•334-

(0061603.01)

a usable copy of it to a friend would normally be free to do so.
Traveling Objects have great potential commercial significance,
since useful content could be primarily distributed by users and
through bulletin boards, which would require little or no
5 distribution overhead apart from registration with the "original"

content provider and/or clearinghouse.

The "out of channel" distribution may also allow the
provider to receive payment for usage and/or elsewise maintain at
10 least a degree of control over the redistributed object. Such

certain criteria might involve, for example, the registered presence
at a user's VDE node of an authorized third party financial
relationship, such as a credit card, along with sufficient available
credit for said usage.

15

Thus, if the user had a VDE node, the user might be able to
use the traveling object if he had an appropriate, available budget
available on his VDE node (and if necessary, allocated to him),
and/or if he or his VDE node belonged to a specially authorized
20 group of users or installations and/or if the traveling object carried

its own budget(s).

Since the content of the traveling object is encrypted, it can
be used only under authorized circumstances unless the traveling
25 object private header key used with the object is broken— a

potentially easier task with a traveling object as compared to, for

-335-

(0061603.01)

example, permissions and/or budget information since many
objects may share the saiu j key, giving a cryptoanalyst both more
information in cyphertext to analyze and a greater incentive to
perform cryptoanalysis.

In the case of a "traveling object," content owners may
distribute information with some or all of the key blocks 810
included in the object 300 in which the content is encapsulated.
Putting keys in distributed objects 300 increases the exposure to
attempts to defeat security mechanisms by breaking or
cryptoanalyzing the encryption algorithm with which the private
header is protected (e.g., by determining the key for the header's
encryption). This breaking of security would normally require
considerable skill and time, but if broken, the algorithm and key
could be published so as to allow large numbers of individuals who
possess objects that are protected with the same key(s) and
algorithm(s) to illegally use protected information. As a result,
placing keys in distributed objects 300 may be limited to content
that is either "time sensitive" (has reduced value after the passage
of a certain period of time), or which is somewhat limited in value,
or where the commercial value of placing keys in objects (for
example convenience to end-users, lower cost of eliminating the
telecommunication or other means for delivering keys and/or
permissions information and/or the ability to supporting objects
going w out-of-channeH exceeds the cost of vulnerability to
sophisticated hackers. As mentioned elsewhere, the security of

-336-

(0061603.01)

keys may be improved by employing convolution techniques to
avoid storing "true" keys in a traveling object, although in most
cases using a shared secret provided to most or all VDE nodes by a
VDE administrator as an input rather than site ID and/or time in
order to allow objects to remain independent of these values.

As shown in Figure 19 and discussed above, a traveling
object contains a permissions record 808 that preferably provides
at least some budget (one, the other, or both, in a general case).
Permission records 808 can, as discussed above, contain a key
block(s) 810 storing important key information. PERC 808 may
also contain or refer to budgets containing potentially valuable
quantities/values. Such budgets may be stored within a traveling
object itself, or they may be delivered separately and protected by
highly secure communications keys and administrative object keys
and management database techniques.

The methods 1000 contained by a traveling object will
typically include an installation procedure for "self registering" the
object using the permission records 808 in the object (e.g., a
REGISTER method). This may be especially useful for objects
that have time limited value, objects (or properties) for which the
end user is either not charged or is charged only a nominal fee
(e.g., objects for which advertisers and/or information publishers
are charged based on the number of end users who actually access
published information), and objects that require widely available

-337-

(0061603.01)

budgets and may particularly benefit from out-of-channel
distribution (e.g., credit card derived budgets for objects containing
properties such as movies, software programs, games, etc.). Such
traveling objects may be supplied with or without contained
budget UDEs.

One use of traveling objects is the publishing of software,
where the contained permission record(s) may allow potential
customers to use the software in a demonstration mode, and
possibly to use the full program features for a limited time before
having to pay a license fee, or before having to pay more than an
initial trial fee. For example, using a time based billing method
and budget records with a small pre-installed time budget to allow
full use of the program for a short period of time. Various control
methods may be used to avoid misuse of object contents. For
example, by setting the minimum registration interval for the
traveling object to an appropriately large period of time (e.g., a
month, or six months or a year), users are prevented from re-using
the budget records in the same traveling object.

Another method for controlling the use of traveling objects is
to include time-aged keys in the permission records that are
incorporated in the traveling object. This is useful generally for
traveling objects to ensure that they will not be used beyond a
certain date without re-registration, and is particularly useful for
traveling objects that are electronically distributed by broadcast,

-338 -

(0061603.01)

network, or telecommunications (including both one and two way
cable), since the date and time of delivery of such traveling objects
aging keys can be set to accurately correspond to the time the user
came into possession of the object.

Traveling objects can also be used to facilitate "moving" an
object from one electronic appliance 600 to another. A user could
move a traveling object, with its incorporated one or more
permission records 808 from a desktop computer, for example, to
his notebook computer. A traveling object might register its user
within itself and thereafter only be useable by that one user. A
traveling object might maintain separate budget information, one
for the basic distribution budget record, and another for the
"active" distribution budget record of the registered user. In this
way, the object could be copied and passed to another potential
user, and then could be a portable object for that user.

Traveling objects can come in a container which contains
other objects. For example, a traveling object container can
include one or more content objects and one or more
administrative objects for registering the content object(s) in an
end user's object registry and/or for providing mechanisms for
enforcing permissions and/or other security functions. Contained
administrative object(s) may be used to install necessary
permission records and/or budget information in the end user's
electronic appliance.

-339-

(0061603.01)

Content Objecta

Figure 20 shows an example of a VDE extent object
structure 880. Generally, content objects 880 include or provide
information content. This "content" may be any sort of electronic
information. For example, content may include: computer
software, movies, books, music, information databases, multimedia
information, virtual reality information, machine instructions,
computer data files, communications messages and/or signals, and
other information, at least a portion of which is used and/or
manipulated by one or more electronic appliances. VDE 100 can
also be configured for authenticating, controlling, and/or auditing
electronic commercial transactions and communications such as
inter-bank transactions, electronic purchasing communications,
and the transmission of, auditing of, and secure commercial
archiving of, electronically signed contracts and other legal
documents; the information used for these transactions may also
be termed "content" As mentioned above, the content need not be
physically stored within the object container but may instead be
provided separately at a different time (e.g., a real time feed over
a cable).

Content object structure 880 in the particular example
shown in Figure 20 is a type of stationary object because it does
not include a PERC 808. In this example, content object structure
880 includes, as at least part of its content 812, at least one
embedded content object 882 as shown in Figure 5A. Content

-340-

(0061603.01)

10

15

20

object structure 880 may also include an administrative object 870.
Thus, objects provided by the preferred embodiment may include
one or more "embedded" objects.

Figure 21 shows an example of an administrative object
structure 870 provided by the preferred embodiment. An
"administrative object* 4 generally contains permissions,
administrative control information, computer software and/or
methods associated with the operation of VDE 100.
Administrative objects may also or alternatively contain records of
use, and/or other information used in, or related to, the operation
of VDE 100. An administrative object may be distinguished from
a content object by the absence of VDE protected "content" for
release to an end user for example. Since objects may contain
other objects, it is possible for a single object to contain one or
more content containing objects and one or more administrative
objects. Administrative objects may be used to transmit
information between electronic appliances for update, usage
reporting, billing and/or control purposes. They contain
information that helps to administer VDE 100 and keep it
operating properly. Administrative objects generally are sent
between two VDE nodes, for example, a VDE clearinghouse
service, distributor, or client administrator and an end user's
electronic appliance 600.

Administrative Object!

-341-

(0061603.01)

Administrative object structure 870 in this example includes
a public header 802, private header 804 (including a "PFHC" 808)
and a "private body" 806 containing methods 1000.
Administrative object structure 870 in this particular example
5 shown in Figure 20 is a type of traveling object because it contains

a PERC 808, but the administrative object could exclude the PERC
808 and be a stationary object. Rather than storing information
content, administrative object structure 870 stores "administrative
information content" 872. Administrative information content 872
10 may, for example, comprise a number of records 872a, 872b, . . .

872n each corresponding to a different "event." Each record 872a,
872b, . . . 872n may include an "event" field 874, and may
optionally include a parameter field 876 and/or a data field 878.
These administrative content records 872 may be used by VDE
15 100 to define events that may be processed during the course of

transactions, e.g., an event designed to add a record to a secure
database might include parameters 896 indicating how and where
the record should be stored and data field 878 containing the
record to be added. In another example, a collection of events may
20 describe a financial transaction between the creators) of an

administrative object and the recipient(s), such as a purchase, a
purchase order, or an invoice. Each event record 872 may be a set
of instructions to be executed by the end user's electronic
appliance 600 to make an addition or modification to the end
15 user's secure database 610, for example. Events can perform

many basic management functions, for example: add an object to

-342-

(0061603.01)

10

15

20

the object registry, including providing the associated user/group
record(s), rights records, permission record and/or method records;
delete audit records (by "rolling up- the audit trail information
into, for example, a more condensed, e.g. summary form, or by
actual deletion); add or update permissions records 808 for
previously registered objects; add or update budget records; add or
update user rights records; and add or update load modules.

In the preferred embodiment, an administrative object may
be sent, for example, by a distributor, client administrator, or,
perhaps, a clearinghouse or other financial service provider, to an
end user, or, alternatively, for example, by an object creator to a
distributor or service clearinghouse. Administrative objects, for
example, may increase or otherwise adjust budgets and/or
permissions of the receiving VDE node to which the administrative
object is being sent. Similarly, administrative objects containing
audit information in the data area 878 of an event record 872 can
be sent from end users to distributors, and/or clearinghouses
and/or client administrators, who might themselves further
transmit to object creators or to other participants in the object's
chain of handling.

25

Methods

Methods 1000 in the preferred embodiment support many of
the operations that a user encounters in using objects and
communicating with a distributor. They may also specify what

-343-

(0061603.01)

method fields are displayable to a user (e.g., use events, user
request events, user response events, and user display events).
Additionally, if distribution capabilities are supported in the
method, then the method may support distribution activities,
distributor communications with a user about a method, method
modification, what method fields are displayable to a distributor,
and any distribution database checks and record keeping (e.g.,
distribution events, distributor request events, and distributor
response events).

Given the generality of the existing method structure, and
the diverse array of possibilities for assembling methods, a
generalized structure may be used for establishing relationships
between methods. Since methods 1000 may be independent of an
object that requires them during any given session, it is not
possible to define the relationships within the methods themselves.
"Control methods" are used in the preferred embodiment to define
relationships between methods. Control methods may be object
specific, and may accommodate an individual object's requirements
during each session.

A control method of an object establishes relationships
between other methods. These relationships are parameterized
with explicit method identifiers when a record set reflecting
desired method options for each required method is constructed
during a registration process.

-344-

(0061603.01)

An "aggregate method" in the preferred embodiment
represents a collection of methods that may be treated as a single
unit. A collection of methods that are related to a specific
property, for example, may be stored in an aggregate method.
This type of aggregation is useful from an implementation point of
view because it may reduce bookkeeping overhead and may
improve overall database efficiency. In other cases, methods may
be aggregated because they are logically coupled. For example,
two budgets may be linked together because one of the budgets
represents an overall limitation, and a second budget represents
the current limitation available for use. This would arise if, for
example, a large budget is released in small amounts over time.

For example, an aggregate method that includes meter,
billing and budget processes can be used instead of three separate
methods. Such an aggregate method may reference a single "load
module" 1100 that performs all of the functions of the three
separate load modules and use only one user data element that
contains meter, billing and budget data. Using an aggregate
method instead of three separate methods may minimize overall
memory requirements, database searches, decryptions, and the
number of user data element writes back to a secure database 610.
The disadvantage of using an aggregate method instead of three
separate methods can be a loss of some flexibility on the part of a
provider and user in that various functions may no longer be
independently replaceable.

•345-

(0061603.01)

Figure 16 shows methods 1000 as being part of secure
database 610.

A "method" 1000 provided by the preferred embodiment is a
collection of basic instructions and information related to the basic
instructions, that provides context, data, requirements and/or
relationships for use in performing, and/or preparing to perform,
the basic instructions in relation to the operation of one or more
electronic appliances 600. As shown in Figure 16, methods 1000
in the preferred embodiment are represented in secure database
610 by:

method "cores" 1000';
Method Data Elements (MDEs) 1202;
User Data Elements (UDEs) 1200; and
• Data Description Elements (DTDs),

Method "core" 1000' in the preferred embodiment may
contain or reference one or more data elements such as MDEs
1202 and UDEs 1200. In the preferred embodiment, MDEs 1202
and UDEs 1200 may have the same general characteristics, the
main difference between these two types of data elements being
that a UDE is preferably tied to a particular method as well as a
particular user or group of users, whereas an MDE may be tied to
a particular method but may be user independent. These MDE
and UDE data structures 1200, 1202 are used in the preferred
embodiment to provide input data to methods 1000, to receive data

-346-

(0061603.01)

outputted by methods, or both. MDEs 1202 and UDEs 1200 may
be delivered independently of method cores 1000' that reference
them, or the data structures may be delivered as part of the
method cores. For example, the method core 1000' in the
preferred embodiment may contain one or more MDEs 1202 and/or
UDEs 1200 (or portions thereof). Method core 1000' may,
alternately or in addition, reference one or more MDE and/or UDE
data structures that are delivered independently of method core(s)
that reference them.

Method cores 1000' in the preferred embodiment also
reference one or more load modules" 1100. Load modules 1100 in
the preferred embodiment comprise executable code, and may also
include or reference one or more data structures called "data
descriptor" ("DTD") information. This "data descriptor"
information may, for example, provide data input information to
the DTD interpreter 590. DTDs may enable load modules 1100 to
access (e.g., read from and/or write to) the MDE and/or UDE data
elements 1202, 1200.

Method cores 1000* may also reference one or more DTD
and/or MDE data structures that contain a textual description of
their operations suitable for inclusion as part of an electronic
contract. The references to the DTD and MDE data structures
may occur in the private header of the method core 1000', or may
be specified as part of the event table described below.

-347 -

(0061603.01)

Figure 22 shows an example of a format for a method core
1000' provided by the preferred embodiment. A method core
1000' in the preferred embodiment contains a method event table
1006 and a method local data area 1008. Method event table 1006
lists "events." These "events" each reference load modules" 1100
and/or PERCs 808 that control processing of an event. Associated
with each event in the list is any static data necessary to
parameterize the load module 1000 or permissions record 808, and
reference(s) into method user data area 1008 that are needed to
support that event. The data that parameterizes the load module
1100 can be thought of, in part, as a specific function call to the
load module, and the data elements corresponding to it may be
thought of as the input and/or output data for that specific
function call.

Method cores 1000' can be specific to a single user, or they
may be shared across a number of users (e.g., depending upon the
uniqueness of the method core and/or the specific user data
element). Specifically, each user/group may have its own UDE
1200 and use a shared method core 1000'. This structure allows
for lower database overhead than when associating an entire
method core 1000' with a user/group. To enable a user to use a
method, the user may be sent a method core 1000' specifying a
UDE 1200. If that method core 1000' already exists in the site's
secure database 610, only the UDE 1200 may need to be added.

-348 -

(0061603.01)

Alternately, the method may create any required UDE 1200 at
registration

The Figure 22 example of a format for a method core 1000'
5 provided by the preferred embodiment includes a public

(unencrypted) header 802, a private (encrypted) header 804,
method event table 1006, and a method local data area 1008.

An example of a possible field layout for method core 1000'
10 public header 802 is shown in the following table:

Field Type

Description

Method ID

Creator ID

Site ID of creator of this method.

Distributor ID

Distributor of this method (e.g.,
last change).

Type ID

Constant, indicates method "type."

Method ID

Unique sequence number for this
method.

Version ID

Version number of this method.

Other

classification
information

Class ID

ID to support different method
"classes."

Type ID

ID to support method type
compatible searching.

Descriptive
Information

Description(s)

Textual description^ ) of the
method.

-349-

(0061603.01)

Event Summary

Summary of event classes (e.g.,
USE) that this method supports.

An example of a possible field layout for private header 804
5 is shown below:

Field Type

Description

Copy of Public Header 802 Method
ID and "Other Classification
Information"

Method ID from Public Header

Descriptive
Information

# of Events

# of events supported in this
method.

Access and
Reference Tags

Access tag

Tags used to determine if this
method is the correct method
under management by the SPU;
ensure that the method core
1000' is used only under
appropriate circumstances.

Validation tag

Correlation tag

Data Structure Reference

Optional Reference to DTD(s)
and/or MDE(s)

Check Value

Check value for Private Header
and method event table.

Check Value for Public Header

Check Value for Public Header

20 Referring once again to Figure 22, method event table 1006

may in the preferred embodiment include from 1 to N method
event records 1012. Each of these method event records 1012

-350-

(0061603.01)

corresponds to a different event the method 1000 represented by
method core 1000' may ru pond to. Methods 1000 in the
preferred embodiment may have completely different behavior
depending upon the event they respond to. For example, an
5 AUDIT method may store information in an audit trail UDE 1200

in response to an event corresponding to a user's use of an object
or other resource. This same AUDIT method may report the
stored audit trail to a VDE administrator or other participant in
response to an administrative event such as, for example, a timer

10 expiring within a VDE node or a request from another VDE

participant to report the audit trail. In the preferred embodiment,
each of these different events may be represented by an "event
code" This "event code" may be passed as a parameter to a
method when the method is called, and used to "look up" the

15 appropriate method event record 1012 within method event table

1006. The selected method event record 1012, in turn, specifies
the appropriate information (e.g., load module(s) 1100, data
element UDE(s) and MDE(s) 1200, 1202, and/or PERC(s) 808) used
to construct a component assembly 690 for execution in response

20 to the event that has occurred.

Thus, in the preferred embodiment, each method event
record 1012 may include an event field 1014, a LM/PERC
reference field 1016, and any number of data reference fields 1018.
25 Event fields 1014 in the preferred embodiment may contain a

"event code" or other information identifying the corresponding

-351-

(0061603.01)

event. The LM/PERC reference field 1016 may provide a reference
into the secure database 610 (or other "pointer" information)
identifying a load module 1100 and/or a PERC 808 providing (or
referencing) executable code to be loaded and executed to perform
the method in response to the event. Data reference fields 1018
may include information referencing a UDE 1200 or a MDE 1202.
These data structures may be contained in the method local data
area 1008 of the method core 1000', or they may be stored within
the secure database 610 as independent deliverables.

The following table is an example of a possible more detailed
field layout for a method event record 1012:

Field Type

Description

Event Field 1014

Identifies corresponding event.

Access tag

Secret tag to grant access to this
row of the method event record.

LM/PERC
Reference
Field 1016

DB ID or
offset/size

Database reference (or local pointer).

Correlation tag

Correlation tag to assert when .
referencing this element.

# of Data Element Reference Fields

Count of data reference fields in the
method event record.

Data
Reference
Field 1

UDE ID or
offset/size

Database 610 reference (or local
pointer).

Correlation tag

Correlation tag to assert when
referencing this element.

•352-

(0061603.01)

Field Type

Description

• ■ • •

Data
Reference
Field n

UDE ID or
offset/size

Database 610 reference (or local
pointer).

Correlation tag

Correlation tag to assert when
referencing this element.

Load Modules

Figure 23 is an example of a load module 1100 provided by
the preferred embodiment. In general, load modules 1100
represent a collection of basic functions that are used for control
operations.

Load module 1100 contains code and static data (that is
functionally the equivalent of code), and is used to perform the
basic operations of VDE 100. Load modules 1100 will generally be
shared by all the control structures for all objects in the system,
though proprietary load modules are also permitted. Load
modules 1100 may be passed between VDE participants in
administrative object structures 870, and are usually stored in
secure database 610. They are always encrypted and
authenticated in both of these cases. When a method core 1000'
references a load module 1100, a load module is loaded into the
SPE 503, decrypted, and then either passed to the electronic
appliance microprocessor for executing in an HPE 655 (if that is

- 353-

(0061603.01)

where it executes), or kept in the SPE (if that is where it
executes). If no SPE 503 is present, the load module may be
decrypted by the HPE 655 prior to its execution.

Load module creation by parties is preferably controlled by a
certification process or a ring based SPU architecture. Thus, the
process of creating new load modules 1100 is itself a controlled
process, as is the process of replacing, updating or deleting load
modules already stored in a secured database 610.

A load module 1100 is able to perform its function only when
executed in the protected environment of an SPE 503 or an HPE
655 because only then can it gain access to the protected elements
(e.g., UDEs 1200, other load modules 1100) on which it operates.
Initiation of load module execution in this environment is strictly
controlled by a combination of access tags, validation tags,
encryption keys, digital signatures and/or correlation tags. Thus, a
load module 1100 may only be referenced if the caller knows its ID
and asserts the shared secret correlation tag specific to that load
module. The decrypting SPU may match the identification token
and local access tag of a load module after decryption. These
techniques make the physical replacement of any load module
1100 detectable at the next physical access of the load module.
Furthermore, load modules 1100 may be made "read only" in the
preferred embodiment. The read-only nature of load modules 1100

-354-

(0061603.01)

The following is an example of a possible field layout for
load module public header 802:

Field Type

Description

VDE ID of Load Module.

Creator ID

Site ID of creator of this load module.

Type ID

Constant indicates load module type.

LM ID

Unique sequence number for this load
module, which uniquely identifies the
load module in a sequence of load
modules created by an authorized
VDE participant.

Version ID

Version number of this load module.

Other

classification

Class ID

ID to support different load module
classes.

information

Type ID

ID to support method type compatible
searching.

Descriptive
Information

Description

Textual description of the load
module.

Execution space
code

Value that describes what execution
space (e.g M SPE or HPE) this load
module.

Many load modules 1100 contain code that executes in an
SPE 503. Some load modules 1100 contain code that executes in
15 an HPE 655. This allows methods 1000 to execute in whichever

-356-

(0061603.01)

prevents the write-back of load modules that have been tampered
with in non-secure space.

Load modules are not necessarily directly governed by
PERCs 808 that control them, nor must they contain any
time/date information or expiration dates. The only control
consideration in the preferred embodiment is that one or more
methods 1000 reference them using a correlation tag (the value of
a protected object created by the load module's owner, distributed
to authorized parties for inclusion in their methods, and to which
access and use is controlled by one or more PERCs 808). If a
method core 1000' references a load module 1100 and asserts the
proper correlation tag (and the load module satisfies the internal
tamper checks for the SPE 503), then that load module can be
loaded and executed, or it can be acquired from, shipped to,
updated, or deleted by, other systems.

As shown in Figure 23, load modules 1100 in the preferred
embodiment may be constructed of a public (unencrypted) header
802, a private (encrypted) header 804, a private body 1106
containing the encrypted executable code, and one or more data
description elements ("DTDs") 1108. The DTDs 1108 may be
stored within a load module 1100, or they may be references to
static data elements stored in secure database 610.

-355-

(0061603.01)

#

10

15

environment is appropriate. For example, an INFORMATION
method 1000 can be built to execute only in SPE 503 secure space
for government classes of security, or in an HPE 655 for
commercial applications. As described above, the load module
public header 802 may contain an "execution space code" field that
indicates where the load module 1100 needs to execute. This
functionality also allows for different SPE instruction sets as well
as different user platforms, and allows methods to be constructed
without dependencies on the underlying load module instruction
set.

Load modules 1100 operate on three major data areas: the
stack, load module parameters, and data structures. The stack
and execution memory size required to execute the load module
1100 are preferably described in private header 804, as are the
data descriptions from the stack image on load module call, return,
and any return data areas. The stack and dynamic areas are
described using the same DTD mechanism. The following is an
example of a possible layout for a load module private header

1104:

-357-

(0061603.01)

Field Type

Description

Copy of some or all of information from
public header 802

Object ID from Public Header.

Other

classification
information

Check Value

Check Value for Public Header.

D escn cti ve
Information

LM Size

Size of executable code block.

LM Exec Size

Executable code size for the load module.

LM Exec Stack

Stack size required for the load module.

Execution space
code

Code that describes the execution space for this
load module.

Access and
reference tags

Access tag

Tags used to determine if the load module is
the correct LM requested by the SPE.

Validation tag

Correlation tag

Tag used to determine if the caller of the LM
has the right to execute this LM.

Digital Signature

Used to determine if the LM executable content
is intact and was created by a trusted source
(one with a correct certificate for creating LMs).

Data record

descriptor

information

DTD count

Number of DTDs that follow the code block.

DTD 1 reference

If locally defined, the physical size and offset in
bytes of the first DTD defined for this LM.

If publicly referenced DTD, this is the DTD ID
and the correlation tag to permit access to the
record.

***

DTD N reference

If locally defined, the physical size and offset in
bytes of the Nth DTD defined for this LM.

If publicly referenced DTD, this is the DTD ID
and the correlation tag to permit access to the
record.

Check Value

Check Value for entire LM.

•358-

(0061603.01)

Each load module 1100 also may use DTD 1108 information
to provide the information necessary to support building methods
from a load module. This DTD information contains the definition
expressed in a language such as SGML for the names and data
types of all of the method data fields that the load module
supports, and the acceptable ranges of values that can be placed in
the fields. Other DTDs may describe the function of the load
module 1100 in English for inclusion in an electronic contract, for
example.

The next section of load module 1100 is an encrypted
executable body 1106 that contains one or more blocks of
encrypted code. Load modules 1100 are preferably coded in the
"native" instruction set of their execution environment for
efficiency and compactness. SPU 500 and platform providers may
provide versions of the standard load modules 1100 in order to
make their products cooperate with the content in distribution
mechanisms contemplated by VDE 100. The preferred
embodiment creates and uses native mode load modules 1100 in
lieu of an interpreted or "p-code" solution to optimize the
performance of a limited resource SPU. However, when sufficient
SPE (or HPE) resources exist and/or platforms have sufficient
resources, these other implementation approaches may improve
the cross platform utility of load module code.

-359-

(0061603.01)

The following is an example of a field layout for a load
module DTD 1108:

Field Type

Description

DTD ID

Uses Object ID from Private Header.

Creator ID

Site ID of creator of this DTD.

Type ID

Constant.

DTD ID

Unique sequence number for this DTD.

Version ID

Version number of this DTD.

uescnpwve
Information

DTD Size

Size of DTD block.

Access and

Access tag

Tags used to determine if the DTD is the correct

reference tags

Validation tag

DTD requested by the SPE.

Correlation tag

Tag used to determine if the caller of this DTD
has the right to use the DTD.

DTD Body

DTD Data Definition 1

DTD Data Definition 2

•
•
•

DTD Data Definition N

Check Value

Check Value for entire DTD record.

Some examples of how load modules 1100 may use DTDs
1108 include:

15 • Increment data element (defined by name in DTD3)

value in data area DTD4 by value in DTD1

-360-

(0061603.01)

• Set data element (defined by name in DTD3) value in
data area DTD4 to value in DTD3

• Compute atomic element from event in DTD1 from
table in DTD3 and return in DTD2

• Compute atomic element from event in DTD1 from
equation in DTD3 and return in DTD2

• Create load module from load module creation
template referenced in DTD3

• Modify load module in DTD3 using content in DTD4

• Destroy load module named in DTD3

Commonly used load modules 1100 may be built into a SPU
500 as space permits. VDE processes that use built-in load
modules 1100 will have significantly better performance than
processes that have to find, load and decrypt external load
modules. The most useful load modules 1100 to build into a SPU
might include scaler meters, fixed price billing, budgets and load
modules for aggregate methods that perform these three processes.

User Data Elements (UDEb) 1200 and Method Data Elements
(MDEfl) 1202

User Data Elements (UDEs) 1200 and Method Data
Elements (MDEs) 1202 in the preferred embodiment store data.
There are many types of UDEs 1200 and MDEs 1202 provided by
the preferred embodiment. In the preferred embodiment, each of
these different types of data structures shares a common overall

-361-

(0061603.01)

format including a common header definition and naming scheme.
Other UDEs 1200 that share this common structure include "local
name services records" (to be explained shortly) and account
information for connecting to other VDE participants. These
elements are not necessarily associated with an individual user,
and may therefore be considered MDEs 1202. All UDEs 1200 and
all MDEs 1202 provided by the preferred embodiment may, if
desired, (as shown in Figure 16) be stored in a common physical
table within secure database 610, and database access processes
may commonly be used to access all of these different types of data
structures.

In the preferred embodiment, PERCs 808 and user rights
table records are types of UDE 1200. There are many other types
of UDEs 1200/MDEs 1202, including for example, meters, meter
trails, budgets, budget trails, and audit trails. Different formats
for these different types of UDEs/MDEs are defined, as described
above, by SGML definitions contained within DTDs 1108.
Methods 1000 use these DTDs to appropriately access
UDEs/MDEs 1200, 1202.

Secure database 610 stores two types of items: static and
dynamic. Static data structures and other items are used for
information that is essentially static information. This includes
load modules 1100, PERCs 808, and many components of methods.
These items are not updated frequently and contain expiration

-362-

(0061603 01)

dates that can be used to prevent "old" copies of the information
from being substituted for newly received items. These items may
be encrypted with a site specific secure database file key when
they are stored in the secure database 610, and then decrypted
using that key when they are loaded into the SPE.

Dynamic items are used to support secure items that must
be updated frequently. The UDEs 1200 of many methods must be
updated and written out of the SPE 503 after each use. Meters
and budgets are common examples of this. Expiration dates
cannot be used effectively to prevent substitution of the previous
copy of a budget UDE 1200. To secure these frequently updated
items, a transaction tag is generated and included in the encrypted
item each time that item is updated. A list of all VDE item IDs
and the current transaction tag for each item is maintained as
part of the secure database 610.

Figure 24 shows an example of a user data element ("UDE")
1200 provided by the preferred embodiment. As shown in Figure
24, UDE 1200 in the preferred embodiment includes a public
header 802, a private header 804, and a data area 1206. The
layout for each of these user data elements 1200 is generally
defined by an SGML data definition contained within a DTD 1108
associated with one or more load modules 1100 that operate on the
UDE 1200.

-363-

(0061603.01)

UDEs 1200 are preferably encrypted using a site specific key
once they are loaded into a site. This site-specific key masks a
validation tag that may be derived from a ciyptographically strong
pseudo-random sequence by the SPE 503 and updated each time
the record is written back to the secure database 610. This
technique provides reasonable assurance that the UDE 1200 has
not been tampered with nor substituted when it is requested by
the system for the next use.

Meters and budgets are perhaps among the most common
data structures in VDE 100. They are used to count and record
events, and also to limit events. The data structures for each
meter and budget are determined by the content provider or a
distributor/redistributor authorized to change the information.
Meters and budgets, however, generally have common information
stored in a common header format (e.g., user ID, site ID and
related identification information).

The content provider or distributor/redistributor may specify
data structures for each meter and budget UDE. Although these
data structures vary depending upon the particular application,
some are more common than others. The following table lists
some of the more commonly occurring data structures for METER
and BUDGET methods:

Field type

Format

Typical Use

Description or Use

-364

(0061603.01)

Ascending Use
counter

byte, short, long,
or unsigned
versions of the
same widths

Meter/Budget

Ascending count of uses.

Descending Use
Counter

byte, short, long,
or unsigned
versions of the

aamp widths

Budget

Descending count of
permitted use; eg.,
remaining budget.

Counter/Limit

0 A or 8 hvte
integer split into
two related bytes
or words

Meter/Budget

usage limits since a specific
time; generally used in
compound meter data
structures.

Bitmap

Array bytes

Meter/Budget

Bit indicator of use or
ownersmp.

Wide bitmap

Array of bytes

Meter/Budget

Indicator of use or
ownersmp tnai may age
with time.

Last Use Date

time_t

Meter/Budget

Date of last use.

Start Date

time t

Budget

Date of first allowable use.

Expiration Date

time_t

Meter/Budget

Expiration Date.

Last Audit Date

time_t

Meter/Budget

Date of last audit.

Next Audit Date

tdme_t

Meter/Budget

Date of next required
audit.

Auditor

VDE ID

Meter/Budget

VDE ID of authorized
auditor.

The information in the table above is not complete or
comprehensive, but rather is intended to show some examples of
types of information that may be stored in meter and budget
related data structures. The actual structure of particular meters
and budgets is determined by one or more DTDs 1108 associated
with the load modules 1100 that create and manipulate the data

-365-

(0061603.01)

structure. A list of data types permitted by the DTD interpreter
590 in VDE 100 is extensible by properly authorized parues.

-366- (0061603.01)

Figure 25 shows an example of one particularly
advantageous kind of UDE 1200 data area 1206. This data area
1206 defines a "map" that may be used to record usage
information. For example, a meter method 1000 may maintain
one or more "usage map" data areas 1206. The usage map may be
a "usage bit map" in the sense that it stores one or more bits of
information (i.e., a single or multi-dimensional bit image)
corresponding to each of several types or categories of usage.
Usage maps are an efficient means for referencing prior usage.
For example, a usage map data area may be used by a meter
method 1000 to record all applicable portions of information
content that the user has paid to use, thus supporting a very
efficient and flexible means for allowing subsequent user usage of
the same portions of the information content. This may enable
certain VDE related security functions such as "contiguousness,"
"logical relatedness," randomization of usage, and other usage
types. Usage maps may be analyzed for other usage patterns (e.g.,
quantity discounting, or for enabling a user to reaccess information
content for which the user previously paid for unlimited usage).

The "usage map" concept provided by the preferred
embodiment may be tied to the concept of "atomic elements." In
the preferred embodiment, usage of an object 300 may be metered
in terms of "atomic elements." In the preferred embodiment, an
"atomic element" in the metering context defines a unit of usage
that is "sufficiently significant" to be recorded in a meter. The
definition of what constitutes an "atomic element" is determined
by the creator of an object 300. For instance, a "byte" of
information content contained in an object 300 could be defined as

(0064091.01)

an "atomic element," or a record of a database could be denned as
an "atomic element," or each chapter of an electronically published
book could be defined as an "atomic element."

An object 300 can have multiple sets of overlapping atomic
elements. For example, an access to any database in a plurality of
databases may be defined as an "atomic element."
Simultaneously, an access to any record, field of records, sectors of
informations, and/or bytes contained in any of the plurality of
databases might also be defined as an "atomic element." In an
electronically published newspaper, each hundred words of an
article could be denned as an "atomic element," while articles of
more than a certain length could be defined as another set of
"atomic elements." Some portions of a newspaper (e.g.,
advertisements, the classified section, etc.) might not be mapped
into an atomic element.

The preferred embodiment provides an essentially
unbounded ability for the object creator to define atomic element
types. Such atomic element definitions may be very flexible to
accommodate a wide variety of different content usage. Some
examples of atomic element types supported by the preferred
embodiment include bytes, records, files, sectors, objects, a
quantity of bytes, contiguous or relatively contiguous bytes (or
other predefined unit types), logically related bytes containing
content that has some logical relationship by topic, location or
other user specifiable logic of relationship, etc. Content creators
preferably may flexibly define other types of atomic elements.

(0064091.01)

The preferred embodiment of the present invention provides
EVENT methods to provide a mapping between usage events and
atomic elements. Generally, there may be an EVENT method for
each different set of atomic elements defined for an object 300. In
many cases, an object 300 will have at least one type of atomic
element for metering relating to billing, and at least one other
atomic element type for non-billing related metering (e.g., used to,
for example, detect fraud, bill advertisers, and/or collect data on
end user usage activities).

In the preferred embodiment, each EVENT method in a
usage related context performs two functions: (1) it maps an
accessed event into a set of zero or more atomic elements, and (2)
it provides information to one or more METER methods for
metering object usage. The definition used to define this mapping
between access events and atomic elements may be in the form of
a mathematical definition, a table, a load module, etc. When an
EVENT method maps an access request into "zero" atomic
elements, a user accessed event is not mapped into any atomic
element based on the particular atomic element definition that
applies. This can be, for example, the object owner is not
interested in metering usage based on such accesses (e.g., because
the object owner deems such accesses to be insignificant from a
metering standpoint).

A "usage map" may employ a "bit map image* for storage of
usage history information in a highly efficient manner. Individual
storage elements in a usage map may correspond to atomic
elements. Different elements within a usage map may correspond
to different atomic elements (e.g., one map element may

369

(0064091.01)

correspond to number of bytes read, another map element may
correspond to whether or not a particular chapter was opened, and
yet another map element may correspond to some other usage
event).

One of the characteristics of a usage map provided by the
preferred embodiment of the present invention is that the
significance of a map element is specified, at least in part, by the
position of the element within the usage map. Thus, in a usage
map provided by the preferred embodiment, the information
indicated or encoded by a map element is a function of its position
(either physically or logically) within the map structure. As one
simple example, a usage map for a twelve-chapter novel could
consist of twelve elements, one for each chapter of the novel.
When the user opens the first chapter, one or more bits within the
element corresponding to the first chapter could be changed in
value (e.g., set to "one"). In this simple example where the owner
of the content object containing the novel was interested only in
metering which chapters had been opened by the user, the usage
map element corresponding to a chapter could be set to "one" the
first time the user opened that corresponding chapter, and could
remain "one" no matter how many additional times the user
opened the chapter. The object owner or other interested VDE
participant would be able to rapidly and efficiently tell which
chapters) had been opened by the user simply by examining the
compact usage map to determine which elements were set to "one."

Suppose that the content object owner wanted to know how
many times the user had opened each chapter of the novel. In this
case, the usage map might comprise, for a twelve-chapter novel,

370

(0064091.01)

twelve elements each of which has a one-to-one correspondence
with a different one of the twelve chapters of the novel. Each time
a user opens a particular chapter, the corresponding METER
method might increment the value contained in the corresponding
usage map element. In this way, an account could be readily
maintained for each of the chapters of the novel.

The position of elements within a usage map may encode a
multi-variable function. For example, the elements within a usage
map may be arranged in a two-dimensional array as shown in
Figure 25B. Different array coordinates could correspond to
independent variables such as, for example, atomic elements and
time. Suppose, as an example, that a content object owner
distributes an object containing a collection of audio recordings.
Assume further that the content object owner wants to track the
number of times the user listens to each recording within the
collection, and also wants to track usage based on month of the
year. Thus, assume that the content object owner wishes to know
how many times the user during the month of January listened to
each of the recordings on a recording-by-recording basis, similarly
wants to know this same information for the month of February,
March, etc. In this case, the usage map (see Figure 25B) might be
defined as a two-dimensional array of elements. One dimension of
the array might encode audio recording number. The other
dimension of the array might encode month of the year. During
the month of January, the corresponding METER method would
increment elements in the array in the "January- column of the
array, selecting which element to increment as a function of
recording number. When January comes to an end, the METER
method might cease writing into the array elements in the

(0064091.01)

January column, and instead write values into a further set of
February array elements — once again selecting the particular
array element in this column as a function of recording number.
This concept may be extended to N dimensions encoding N
different variables.

Usage map meters are thus an efficient means for
referencing prior usage. They may be used to enable certain VDE
related security functions such as testing for contiguousness
(including relative contiguousness), logical relatedness (including
relative logical relatedness), usage randomization, and other usage
patterns. For example, the degree or character of the
"randomness" of content usage by a user might serve as a
potential indicator of attempts to circumvent VDE content budget
limitations. A user or groups of users might employ multiple
sessions to extract content in a manner which does not violate
contiguousness, logical relatedness or quantity limitations, but
which nevertheless enables reconstruction of a material portion or
all of a given, valuable unit of content. Usage maps can be
analyzed to determine other patterns of usage for pricing such as,
for example, quantity discounting after usage of a certain quantity
of any or certain atomic units, or for enabling a user to reaccess an
object for which the user previously paid for unlimited accesses (or
unlimited accesses over a certain time duration). Other useful
analyses might include discounting for a given atomic unit for a
plurality of uses.

A further example of a map meter includes storing a record
of all applicable atomic elements that the user has paid to use (or
alternatively, has been metered as having used, though payment

may not yet have been required or made). Such a usage map
would support a very efficient and flexible way to allow
subsequent user usage of the same atomic elements.

A further usage map could be maintained to detect
fraudulent usage of the same object. For example, the object
might be stored in such a way that sequential access of long blocks
should never occur. A METER method could then record all
applicable atomic elements accesses during, for example, any
specified increment of time, such as ten minutes, an hour, a day, a
month, a year, or other time duration). The usage map could be
analyzed at the end of the specified time increment to check for an
excessively long contiguous set of accessed blocks, and/or could be
analyzed at the initiation of each access to applicable atomic
elements. After each time duration based analysis, if no
fraudulent use is detected, the usage map could be cleared (or
partially cleared) and the mapping process could begin in whole or
in part anew. If a fraudulent use pattern is suspected or detected,
that information might be recorded and the use of the object could
be halted. For example, the user might be required to contact a
content provider who might then further analyze the usage
information to determine whether or not further access should be
permitted.

Figure 25c shows a particular type of "wide bit map" usage
record 1206 wherein each entry in the usage record corresponds to
usage during a particular time period (e.g., current month usage,
last month's usage, usage in the month before last, etc.). The
usage record shown thus comprises an array of "flags" or fields
1206, each element in the array being used to indicate usage in a

(0064091.01)

different time period in this particular example. When a time
period ends, all elements 1206 in the array may be shifted one
position, and thus usage information (or the purchase of user
access rights) over a series of time periods can be reflected by a
series of successive array elements. In the specific example shown
in Figure 25c, the entire wide array 1206 is shifted by one array
position each month, with the oldest array element being deleted
and the new array element being "turned" in a new array map
corresponding to the current time period. In this example, record
1302 tracks usage access rights and/or other usage related
activities during the present calendar month as well for the five
immediately prior calendar months. Corresponding billing and/or
billing method 406 may inspect the map, determine usage as
related to billing and/or security monitoring for current usage
based on a formula that employs the usage data stored in the
record, and updates the wide record to indicate the applicable
array elements for which usage occurred or the like. A wide bit
map may also be used for many other purposes such as
maintaining an element by element count of usage, or the
contiguousness, relatedness, etc. function described above, or some
combination of functionality.

Audit trail maps may be generated at any frequency
determined by control, meter, budget and billing methods and load
modules associated with those methods. Audit trails have a
similar structure to meters and budgets and they may contain user
specific information in addition to information about the usage
event that caused them to be created. Like meters and budgets,
audit trails have a dynamic format that is defined by the content
provider or their authorized designee, and share the basic element

(0064091.01)

types for meters and budgets shown in the table above. In
addition to these types, the following table lists some examples of
other significant data fields that may be found in audit trails:

Field type

Format

TVoical Use

Deserintion of* TTao

Use Event ID

unsigned long

Meter/Budget/
Billing

Event ID that started a
l^«v^>cBaiiig sequence.

Internal

Sequence

Number

unsigned long

Meter/Budget/
Billing

Transaction number to help
detect audits that have been
tampered with.

Atomic
Element(s)
& Object ID

Unsigned
integers) of
appropriate
width

Meter/Billing

Atomic element(s) and ID of
object that was used.

Personal User
Information

Character or
other

information

Budget/Billing

Personal information about user.

Use

Date/Time

time_t

Meter/Budget/
Billing

Date/time of use.

Site ID/User
ID

VDE ID

Meter/Budget/
Billing

VDE ID of user.

Audit trail records may be automatically combined into
single records to conserve header space. The combination process
may, for example, occur under control of a load module that
creates individual audit trail records.

Permissions Record Overview

Figure 16 also shows that PERCs 808 may be stored as part
of secure database 610. Permissions records ("PERCs") 808 are at
the highest level of the data driven control hierarchy provided by
the preferred embodiment of VDE 100. Basically, there is at least
one PERC 808 that corresponds to each information and/or

375

(0064091.01)

transactional content distributed by VDE 100. Thus, at least one
PERC 808 exists for each VDE object 300 in the preferred
embodiment. Some objects may have multiple corresponding
PERCs 808. PERC 808 controls how access and/or manipulation
permissions are distributed and/or how content and/or other
information may otherwise be used. PERC 808 also specifies the
"rights" of each VDE participant in and to the content and/or other
information.

In the preferred embodiment, no end user may use or access
a VDE object unless a permissions record 808 has been delivered
to the end user. As discussed above, a PERC 808 may be
delivered as part of a traveling object 860 or it may be delivered
separately (for example, within an administrative object). An
electronic appliance 600 may not access an object unless a
corresponding PERC 808 is present, and may only use the object
and related information as permitted by the control structures
contained within the PERC.

Briefly, the PERC 808 stores information concerning the
methods, method options, decryption keys and rights with respect
to a corresponding VDE object 300.

PERC 808 includes control structures that define high level
categories or classifications of operations. These high level
categories are referred to as "rights." The "right" control
structures, in turn, provide internal control structures that
reference "methods" 1000. The internal structure of preferred
embodiment PERC 808 organizes the "methods" that are required
to perform each allowable operation on an object or associated

(0064091.01)

control structure (including operations performed on the PERC
itself). For example, PERC 808 contains decryption keys for the
object, and usage of the keys is controlled by the methods that are
required by the PERC for performing operations associated with
the exercise of a "right."

PERC 808 for an object is typically created when the object
is created, and future substantive modifications of a PERC, if
allowed, are controlled by methods associated with operations
using the distribution right(s) defined by the same (or different)
PERC.

Figure 22 shows the internal structures present in an
example of a PERC 808 provided by the preferred embodiment.
All of the structures shown represent (or reference) collections of
methods required to process a corresponding object in some
specific way. PERCs 808 are organized as a hierarchical structure,
and the basic elements of the hierarchy are as follows:
"rights" records 906

"control sets" 914

"required method" records 920 and
"required method options" 924.

There are other elements that may be included in a PERC
808 hierarchy that describe rules and the rule options to support
the negotiation of rule sets and control information for smart
objects and for the protection of a user's personal information by a
privacy filter. These alternate elements may include:

optional rights records

optional control sets

377

(0064091.01)

optional method records

permitted rights records

permitted rights control sets

permitted method records

required DTD descriptions

optional DTD descriptions

permitted DTD descriptions
These alternate fields can control other processes that may, in
part, base negotiations or decisions regarding their operation on
the contents of these fields. Rights negotiation, smart object
control information, and related processes can use these fields for
more precise control of their operation.

The PERC 808 shown in Figure 26 includes a PERC header
900, a CSO ("control set 0") 902, private body keys 904, and one or
more rights sub-records 906. Control set 0 902 in the preferred
embodiment contains information that is common to one or more
"rights" associated with an object 300. For example, a particular
"event" method or methods might be the same for usage rights,
extraction rights and/or other rights. In that case, "control set 0"
902 may reference this event that is common across multiple
"rights." The provision of "control set 0" 902 is actually an
optimization, since it would be possible to store different instances
of a commonly-used event within each of plural "rights" records
906 of a PERC 808.

Each rights record 906 defines a different "right"
corresponding to an object. A "right" record 906 is the highest
level of organization present in PERC 808. There can be several
different rights in a PERC 808. A "right" represents a major

#

factional partitioning desired by a participant of the basic
architecture of VDE 100. For example, the right to use an object
and the right to distribute rights to use an object are major
functional groupings within VDE 100. Son,, examples of possible
nghts include access to content, permission to distribute rights to
access content, the ability to read and process audit trails related
to content and/or control structures, the right to perform
transactions that may or may not be related to content and/or
related control structures (such as banking transactions, catalog
purchases, the collection of taxes, EDI transactions, and such) and
the ability to change some or all of the internal structure of
PERCs created for distribution to other users. PERC 808 contains
a nghts record 906 for each type of right to object access/use the
PERC grants.

Normally, for VDE end users, the most frequently granted
right >s a usage right. Other types of rights include the
"extraction right," the "audit right" for accessing audit trail
■-formation of end users, and a "distribution right" to distribute an
object. Each of these different types of rights may be embodied in
a duTerent rights record 906 (or alternatively, different PERCs 808
corresponding to an object may be used to grant different rights).

Each rights record 906 includes a rights record header 908
a CSE ("control set for right") 910, one or more "right keys" 912 '
and one or more "control sets" 914. Each "rights" record 906
contaans one or more control sets 914 that are either required or
selectable options to control an object in the exercise of that
"nght " Thus, at the next level, inside of a "right" 906, are control
sets 914. Control sets 914, in turn, each includes a control set

379

(0064091.01)

header 916, a control method 918, and one or more required
methods records 920. Required methods records 920, in turn, each
includes a required method header 922 and one or more required
metbM options 924.

Control sets 914 exist in two types in VDE 100: common
required control sets which are given designations "control set 0 a
or "control set for right," and a set of control set options. "Control
set 0" 902 contains a list of required methods that are common to
all control set options, so that the common required methods do
not have to be duplicated in each control set option. A "control set
for right" ("CSR") 910 contains a similar list for control sets within
a given right. "Control set 0 a and any "control sets for rights" are
thus, as mentioned above, optimizations; the same functionality for
the control sets can be accomplished by listing all the common
required methods in each control set option and omitting "control
set 0" and any "control sets for rights."

One of the control set options, "control set 0" and the
appropriate "control set for right" together form a complete control
set necessary to exercise a right.

Each control set option contains a list of required methods
1000 and represents a different way the right may be exercised.
Only one of the possible complete control sets 914 is used at any
one time to exercise a right in the preferred embodiment.

Each control set 914 contains as many required methods
records 920 as necessary to satisfy all of the requirements of the
creators and/or distributors for the exercise of a right. Multiple

380

(0064091.01)

ways a right may be exercised, or multiple control sets that govern
how a given right is exercised, are both supported. As an example,
a single control set 914 might require multiple meter and budget
methods for reading the object's content, and also requi a different
meter and budget methods for printing an object's content. Both
reading and printing an object's content can be controlled in a
single control set 914.

Alternatively, two different control set options could support
reading an object's content by using one control set option to
support metering and budgeting the number of bytes read, and the
other control set option to support metering and budgeting the
number of paragraphs read. One or the other of these options
would be active at a time.

Typically, each control set 914 will reference a set of related
methods, and thus different control sets can offer a different set of
method options. For example, one control set 914 may represent
one distinct kind of metering methodology, and another control set
may represent another, entirely different distinct metering
methodology.

At the next level inside a control set 914 are the required
methods records 920. Methods records 920 contain or reference
methods 1000 in the preferred embodiment. Methods 1000 are a
collection of "events," references to load modules associated with
these events, static data, and references to a secure database 610
for automatic retrieval of any other separately deliverable data
elements that may be required for processing events (e.g., UDEs).
A control set 914 contains a list of required methods that must be

381

(0064091.01)

used to exercise a specific right (i.e., process events associated with
a right). A required method record 920 listed in a control set 914
indicates that r method must exist to exercise the right that the
control set supports. The required methods may reference "load
modules" 1100 to be discussed below. Briefly, load modules 1100
are pieces of executable code that may be used to carry out
required methods.

Each control set 914 may have a control method record 918
as one of its required methods. The referenced control method
may define the relationships between some or all of the various
methods 1000 defined by a control set 906. For example, a control
method may indicate which required methods are functionally
grouped together to process particular events, and the order for
processing the required methods. Thus, a control method may
specify that required method referenced by record 920(a)(l)(i) is
the first to be called and then its output is to go to required
method referenced by record 920(a)(l)(ii) and so on. In this way, a
meter method may be tied to one or more billing methods and then
the billing methods may be individually tied to different budget
methods, etc.

Required method records 920 specify one or more required
method options 924. Required method options are the lowest level
of control structure in a preferred embodiment PERC 808. By
parameterizing the required methods and specifying the required
method options 924 independently of the required methods, it
becomes possible to reuse required methods in many different
circumstances.

•

#

For example, a required method record 920 may indicate
that an actual budget method ID must be chosen from the list of
budget method IDs in the required method option list for that
required method. Required method record 920 in this case does
not contain any method IDs for information about the type of
method required, it only indicates that a method is required.
Required method option 924 contains the method ED of the method
to be used if this required method option is selected. As a further
optimization, an actual method ID may be stored if only one option
exists for a specific required method. This allows the size of this
data structure to be decreased.

PERC 808 also contains the fundamental decryption keys for
an object 300, and any other keys used with "rights" (for encoding
and/or decoding audit trails, for example). It may contain the keys
for the object content or keys to decrypt portions of the object that
contain other keys that then can be used to decrypt the content of
the object. Usage of the keys is controlled by the control sets 914
in the same "right" 906 within PERC 808.

In more detail, Figure 26 shows PERC 808 as including
private body keys 904, and right keys 912. Private body keys 904
are used to decrypt information contained within a private body
806 of a corresponding VDE object 300. Such information may
include, for example, methods 1000, load modules 1100 and/or
UDEs 1200, for example. Right keys 912 are keys used to exercise
a right in the preferred embodiment. Such right keys 912 may
include, for example, decryption keys that enable a method
specified by PERC 808 to decrypt content for release by a VDE
node to an end user. These right keys 912 are, in the preferred

383

(0064091.01)

embodiment, unique to an object 300. Their usage is preferably
controlled by budgets in the preferred embodiment.

Detailed Example of a PERC 808

Figures 26A and 26B show one example of a preferred
embodiment PERC 808. In this example, PERC header 900
includes:

a site record number 926,

a field 928 specifying the length of the private body
key block,

a field 930 specifying the length of the PERC,
an expiration date/time field 932 specifying the

expiration date and/or time for the PERC,
a last modification date/time field 934 specifying the

last date and/or time the PERC 808 was

modified,

the original distributor ID field 936 that specifies who
originally distributed the PERC and/or
corresponding object,
a last distributor field 938 that specifies who was the

last distributor of the PERC and/or the object,
an object ID field 940 identifying the corresponding'

VDE object 300,
a field 942 that specifies the class and/or type of
PERC and/or the instance ID for the record
class to differentiate the PERCs of the same
type that may differ in their particulars,
a field 944 specifying the number of "rights" sub-
records 906 within the PERC, and
a validation tag 948.

384

(0064091.01)

The PERC 808 shown in Figures 26a, 26b also has private body
keys stored in a private body key block 950.

This PERC 808 includes a control set 0 sub-record 914 (0)
that may be used commonly by all of rights 906 within the PERC
This control set 0 record 914(0) may include the following fields:

a length field 952 specifying the length of the control
set 0 record

a field 954 specifying the number of required method

records 920 within the control set
an access tag field 956 specifying an access tag to

control modification of the record and
one or more required method records 920.

Each required method record 920, in turn may include:

a length field 958 specifying the length of the required

method record
a field 960 specifying the number of method option

records within the required method record 920
an access tag field 962 specifying an access tag to

control modification of the record and
one or more method option records 924.

Each method option sub-record 924 may include:

a length field 964 specifying the length of the method

option record
a length field 966 specifying the length of the data

area (if any) corresponding to the method option

record

a method ID field 968 specifying a method ID (e.g.,
type/owner/class/instance)

385

(0064091.01)

a correlation tag field 970 specifying a correlation tag
for correlating with the method specified in field

968

an access tag field 972 specifying an access tag to

control modification of this record
a method-specific attributes field 974
a data area 976 and

a check value field 978 for validation purposes

In this example of PERC 808 also includes one or more
rights records 906, and an overall check value field 980. Figure
23b is an example of one of right records 906 shown in Figure 16a.
In this particular example, rights record 906a includes a rights
record header 908 comprising:

a length field 982 specifying the length of the rights

key block 912
a length field 984 specifying the length of the rights
record 908

an expiration date/time field 986 specifying the

expiration date and/or time for the rights record

a right ID field 988 identifying a right

a number field 990 specifying the number of control
sets 914 within the rights record 906, and

an access tag field 992 specifying an access tag to
control modification of the right record.

This example of rights record 906 includes:
a control set for this right (CSR) 910
a rights key block 912
one or more control sets 914, and

386

(0064091.01)

t

a check value field 994.

Object Registry

Referring once again to Figure 16, secure database 610
provides data structures that support a "lookup" mechanism for
"registered" objects. This "lookup" mechanism permits electronic
appliance 600 to associate, in a secure way, VDE objects 300 with
PERCs 808, methods 1000 and load modules 1100. In the
preferred embodiment, this lookup mechanism is based in part on
data structures contained within object registry 450.

In one embodiment, object registry 450 includes the
following tables:

• an object registration table 460;

• a subject table 462;

a User Rights Table ("URT") 464;

• an Administrative Event Log 442;

• a shipping table 444; and

• a receiving table 446.

Object registry 460 in the example embodiment is a
database of information concerning registered VDE objects 300
and the rights of users and user groups with regard to those
objects. When electronic appliance 600 receives an object 300
containing a new budget or load module 1100, the electronic
appliance usually needs to add the information contained by the
object to secure database 610. Moreover, when any new VDE
object 300 arrives at an electronic appliance 600, the electronic
appliance must "register" the object within object registry 450 so
that it can be accessed. The lists and records for a new object 300

387

(0064091.01)

*

are built in the preferred embodiment when the object is
"registered" by the electronic appliance 600. The information for
the object may be obtained from the object's encrypted private
header, object body, and encrypted name services record. This
information may be extracted or derived from the object 300 by
SPE 503, and then stored within secure database 610 as encrypted
records.

In one embodiment, object registration table 460 includes
information identifying objects within object storage (repository)
728. These VDE objects*300 stored within object storage 728 are
not, in the example embodiment, necessarily part of secure
database 610 since the objects typically incorporate their own
security (as necessary and required) and are maintained using
different mechanisms than the ones used to maintain the secure
database. Even though VDE objects 300 may not strictly be part
of secure database 610, object registry 450 (and in particular,
object registration table 460) refers to the objects and thus
"incorporates them by reference" into the secure database. In the
preferred embodiment, an electronic appliance 600 may be
disabled from using any VDE object 300 that has not been
appropriately registered with a corresponding registration record
stored within object registration table 460.

Subject table 462 in the example embodiment establishes
correspondence between objects referred to by object registration
table 460 and users (or groups of users) of electronic appliance
600. Subject table 462 provides many of the attributes of an
access control list ("ACL"), as will be explained below.

388

(0064091.01)

•

User rights table 464 in the example embodiment provides
permissioning and other information specific to particular users or
groups of users and object combinations set forth in subject table
462. In the example embodiment, permissions records 808 (also
shown in Figure 16 and being stored within secure database 610)
may provide a universe of permissioning for a particular object-
user combination. Records within user rights table 464 may
specify a sub-set of this permissioning universe based on, for
example, choices made by users during interaction at time of
object registration.

Administrative event log 442, shipping table 444, and
receiving table 446 provide information about receipts and
deliveries of VDE objects 300. These data structures keep track of
administrative objects sent or received by electronic appliance 600
including, for example, the purpose and actions of the
administrative objects in summary and detailed form. Briefly,
shipping table 444 incudes a shipping record for each
administrative object sent (or scheduled to be sent) by electronic
appliance 600 to another VDE participant. Receiving table 446 in
the preferred embodiment includes a receiving record for each
administrative object received (or scheduled to be received) by
electronic appliance 600. Administrative event log 442 includes an
event log record for each shipped and each received administrative
object, and may include details concerning each distinct event
specified by received administrative objects.

Administrative Object Shipping and Receiving

Figure 27 is an example of a detailed format for a shipping
table 444. In the preferred embodiment, shipping table 444

389

(0064091.01)

includes a header 444 A and any number of shipping records 445.
Header 444A includes information used to maintain shipping table
444. Each shipping record 445 within shipping table 44* provides
details concerning a shipping event (i.e., either a completed
shipment of an administrative object to another VDE participant,
or a scheduled shipment of an administrative object).

In the example embodiment of the secure database 610,
shipping table header 444A may include a site record number
444AQ), a user (or group) ID 444A(2), a series of reference fields
444A(3)-444A(6), validation tags 444A(7)-444A(8), and a check
value field 444AO). The fields 444A(3)-444A(6) reference certain
recent IDs that designate lists of shipping records 445 within
shipping table 444. For example, field 444A(3) may reference to a
"first" shipping record representing a completed outgoing shipment
of an administrative object, and field 444A(4) may reference to a
"last" shipping record representing a completed outgoing shipment
of an administrative object. In this example, "first" and "last"
may, if desired, refer to time or order of shipment as one example.
Similarly, fields 444A(5) and 444A(6) may reference to "first" and
"last" shipping records for scheduled outgoing shipments.
Validation tag 444A(7) may provide validation from a name
services record within name services record table 452 associated
with the user (group) ED in the header. This permits access from
the shipping record back to the name services record that
describes the sender of the object described by the shipping
records. Validation tag 444A(8) provides validation for a "first"
outgoing shipping record referenced by one or more of pointers
444A(3H44A(6). Other validation tags may be provided for
validation of scheduled shipping record(s).

Shipping record 444(1) shown includes a site record number
445(1)(A). It also includes first and last scheduled shipment
date/times 445(1)(B), 445(1)(C) providing a window of time used for
scheduling administrative object shipments. Field 445(1)(D) may
specify an actual date/time of a completed shipment of an
administrative object. Field 445(1)(E) provides an ID of an
administrative object shipped or to be shipped, and thus identifies
which administrative object within object storage 728 pertains to
this particular shipping record. A reference field 445(1)(G)
references a name services record within name services record
table 452 specifying the actual or intended recipient of the
administrative object shipped or to be shipped. This information
within name services record table 452 may, for example, provide
routing information sufficient to permit outgoing administrative
objects manager 754 shown in Figure 12 to inform object switch
734 to ship the administrative object to the intended recipient. A
field 445(1)(H) may specify (e.g., using a series of bit flags) the
purpose of the administrative object shipment, and a field 445(1)(I)
may specify the status of the shipment. Reference fields 445(1)(J),
445(1)(K) may reference "previous- and "next" shipping records
445 in a linked list (in the preferred embodiment, there may be
two linked lists, one for completed shipping records and the other
for scheduled shipping records). Fields 445(1)(L) - 445(1)(P) may
provide validation tags respectively from header 444A, to a record
within administrative event log 442 pointed to by pointer
445(1)(F); to the name services record referenced by field
445(1)(G); from the previous record referenced by 445(1)(J); and to
the next record referenced by field 445(1)(K). A check value field
445(1)(Q) may be used for validating shipping record 445.

391

(0064091.01)

Figure 28 shows an example of one possible detailed format
for a receiving table 446. In one embodiment, receiving table 446
has a structure that is similar to the structure of the shipping
table 444 shown in Figure 27. Thus, for example, receiving table
446 may include a header 446a and a plurality of receiving records
447, each receiving record including details about a particular
reception or scheduled reception of an administrative object.
Receiving table 446 may include two linked lists, one for completed
receptions and another for schedule receptions. Receiving table
records 447 may each reference an entry within name services
record table 452 specifying an administrative object sender, and
may each point to an entry within administrative event log 442.
Receiving records 447 may also include additional details about
scheduled and/or completed reception (e.g., scheduled or actual
date/time of reception, purpose of reception and status of
reception), and they may each include validation tags for
validating references to other secure database records.

Figure 29 shows an example of a detailed format for an
administrative event log 442. In the preferred embodiment,
administrative event log 442 includes an event log record
442(1) . . . 442(N) for each shipped administrative object and for
each received administrative object. Each administrative event log
record may include a header 443a and from 1 to N sub-records
442(J)(1) . . . 442(J)(N). In the preferred embodiment, header 443a
may include a site record number field 443 Ad), a record length
field 443A(2), an administrative object ID field 443A(3), a field
443A(4) specifying a number of events, a validation tag 443A(5)
from shipping table 444 or receiving table 446, and a check sum
field 443A(6). The number of events specified in field 443A(4)

ooo

corresponds to the number of sub-records 442(J)(1) . . . 442(J)(N)
within the administrative event log record 442(J). Each of these
sub-records specifies information about a particular "event"
affected or corresponding to the administrative object specified
within field 443(A)(3). Administrative events are retained in the
administrative event log 442 to permit the reconstruction (and
preparation for construction or processing) of the administrative
objects that have been sent from or received by the system. This
permits lost administrative objects to be reconstructed at a later
time.

Each sub-record may include a sub-record length field
442(J)(l)(a), a data area length field 442(J)(l)(b), an event ID field
442(J)(l)(c), a record type field 442(J)(l)(d), a record ID field
442(J)(l)(e), a data area field 442(J)(l)(f), and a check value field
442(J)(l)(g). The data area 442(J)(l)(f) may be used to indicate
which information within secure database 610 is affected by the
event specified in the event ID field 442(J)(l)(c), or what new
secure database item(s) were added, and may also specify the
outcome of the event.

The object registration table 460 in the preferred
embodiment includes a record corresponding to each VDE object
300 within object storage (repositoxy) 728. When a new object
arrives or is detected (e.g., by redirector 684), a preferred
embodiment electronic appliance 600 "registers" the object by
creating an appropriate object registration record and storing it in
the object registration table 460. In the preferred embodiment,
the object registration table stores information that is user-
independent, and depends only on the objects that are registered

(0064091.01)

at a given VDE electronic appliance 600. Registration activities
are typically managed by a REGISTER method associated with an
object.

In the example, subject table 462 associates users (or groups
of users) with registered objects. The example subject table 462
performs the function of an access control list by specifying which
users are authorized to access which registered VDE objects 300.

As described above, secure database 610 stores at least one
PERC 808 corresponding to each registered VDE object 300.
PERCS 808 specify a set of rights that may be exercised to use or
access the corresponding VDE object 300. The preferred
embodiment allows user to "customize" their access rights by
selecting a subset of rights authorized by a corresponding PERC
808 and/or by specifying parameters or choices that correspond to
some or all of the rights granted by PERC 808. These user choices
are set forth in a user rights table 464 in the preferred
embodiment. User rights table (URT) 464 includes URT records,
each of which corresponds to a user (or group of users). Each of
these URT records specifies user choices for a corresponding VDE
object 300. These user choices may, either independently or in
combination with a PERC 808, reference one or more methods
1000 for exercising the rights granted to the user by the PERC 808
in a way specified by the choices contained within the URT record.

Figure 30 shows an example of how these various tables
may interact with one another to provide a secure database lookup
mechanism. Figure 30 shows object registration table 460 as
having a plurality of object registration records 460(1), 460(2),

394

(0064091.01)

These records correspond to VDE objects 300(1), 300(2), . . . stored
within object repository 728. Figure 31 shows an example format
for an object registration record 460 provided by the preferred
embodiment. Object registration record 460(N) may include the
following fields:

site record number field 466(1)
object type field 466(2)
creator ID field 466(3)
object ID field 466(4)

a reference field 466(5) that references subject

table 462
an attribute field 466(6)
a minimum registration interval field 466(7)
a tag 466(8) to a subject table record, and
a check value field 466(9).

The site record number field 466(1) specifies the site record
number for this object registration record 460(N). In one
embodiment of secure database 610, each record stored within the
secure database is identified by a site record number. This site
record number may be used as part of a database lookup process
in order to keep track of all of the records within the secure
database 610.

Object type field 466(2) may specify the type of registered
VDE object 300 (e.g., a content object, an administrative object
etc.).

Creator ID field 466(3) in the example may identify the
creator of the corresponding VDE object 300.

395

(0064091.01)

Object ID field 466(4) in the example uniquely identifies the
registered VDE object 300.

Reference field 466(5) in the preferred embodiment identifies
a record within the subject table 462. Through use of this
reference, electronic appliance 600 may determine all users (or
user groups) listed in subject table 462 authorized to access the
corresponding VDE object 300. Tag 466(8) is used to validate that
the subject table records accessed using field 466(5) is the proper
record to be used with the object registration record 460(N).

Attribute field 466(6) may store one or more attributes or
attribute flags corresponding to VDE object 300.

Minimum registration interval field 466(7) may specify how
often the end user may re-register as a user of the VDE object 300
with a clearinghouse service, VDE administrator, or VDE provider.
One reason to prevent frequent re-registration is to foreclose users
from reusing budget quantities in traveling objects until a
specified amount of time has elapsed. The minimum registration
interval field 466(7) may be left unused when the object owner
does not wish to restrict re-registration.

Check value field 466(9) contains validation information
used for detecting corruption or modification of record 460(N) to
ensure security and integrity of the record. In the preferred
embodiment, many or all of the fields within record 460(N) (as
with other records within the secure database 610) may be fully or
partially encrypted and/or contain fields that are stored
redundantly in each record (once in unencrypted form and once in

(0064091.01)

encrypted form). Encrypted and unencrypted versions of the same
fields may be cross checked at various times to detect corruption
or modification of the records.

As mentioned above, reference field 466(5) references subject
table 462, and in particular, references one or more user/object
records 460(M) within the subject table. Figure 32 shows an
example of a format for a user/object record 462(M) provided by
the example. Record 462(M) may include a header 468 and a
subject record portion 470. Header 468 may include a field 468(6)
referencing a "first" subject record 470 contained within the
subject registration table 462. This "first" subject record 470(1)
may, in turn, include a reference field 470(5) that references a
"next" subject record 470(2) within the subject registration table
462, and so on. This "linked list" structure permits a single object
registration record 460(N) to reference to from one to N subject
records 470.

Subject registration table header 468 in the example
includes a site record number field 468(1) that may uniquely
identify the header as a record within secure database 610.
Header 468 may also include a creator ID field 468(2) that may be
a copy of the content of the object registration table creator ID
field 466(3). Similarly, subject registration table header 468 may
include an object ID field 468(5) that may be a copy of object ID
field 466(4) within object registration table 460. These fields
468(2), 468(5) make user/object registration records explicitly
correspond to particular VDE objects 300.

397

(0064091.01)

Header 468 may also include a tag 468(7) that permits
validation. In one example arrangement, the tag 468(7) within the
user/object registration header 468 may be the same as the tag
466(8) within the object registration record 460(N) that points to
the user/object registration header. Correspondence between these
tags 468(7) and 466(8) permits validation that the object
registration record and user/object registration header match up.

User/object header 468 also includes an original distributor
ID field 468(3) indicating the original distributor of the
corresponding VDE object 300, and the last distributor ID field
468(4) that indicates the last distributor within the chain of
handling of the object prior to its receipt by electronic appliance
600.

Header 468 also includes a tag 468(8) allowing validation
between the header and the "first" subject record 470(1) which
field 468(6) references

Subject record 470(1) includes a site record number 472(1), a
user (or user group) ID field 472(2), a user (or user group)
attributes field 472(3), a field 472(4) referencing user rights table
464, a field 472(5) that references to the "next" subject record
470(2) (if there is one), a tag 472(6) used to validate with the
header tag 468(8), a tag 472(7) used to validate with a
corresponding tag in the user rights table record referenced by
field 472(4), a tag 472(9) used to validate with a tag in the "next"
subject record referenced to by field 472(5) and a check value field
472(9).

398

(0064091.01)

User or user group ID 472(2) identifies a user or a user
group authorized to use the object identified in field 468(5). Thus,
the fields 468(5) and 472(2rtogether form the heart of the access
control list provided by subject table 462. User attributes field
472(3) may specify attributes pertaining to use/access to object 300
by the user or user group specified in fields 472(2). Any number of
different users or user groups may be added to the access control
list (each with a different set of attributes 472(3)) by providing
additional subject records 470 in the "linked list" structure.

Subject record reference field 472(4) references one or more
records within user rights table 464. Figure 33 shows an example
of a preferred format for a user rights table record 464(k). User
rights record 464(k) may include a URT header 474, a record
rights header 476, and a set of user choice records 478. URT
header 474 may include a site record number field, a field 474(2)
specifying the number of rights records within the URT record
46400, a field 474(3) referencing a "first" rights record (i.e., to
rights record header 476), a tag 474(4) used to validate the lookup
from the subject table 462, a tag 474(5) used to validate the lookup
to the rights record header 476, and a check value field 474(6).

Rights record header 476 in the preferred embodiment may
include site record number field 476(1), a right ID field 476(2), a
field 476(3) referencing the "next" rights record 476(2), a field
476(4) referencing a first set of user choice records 478(1), a tag
476(5) to allow validation with URT header tag 474(5), a tag
476(6) to allow validation with a user choice record tag 478(6), and
a check value field 476(7). Right ID field 476(2) may, for example,

specify the type of right conveyed by the rights record 476(e.g.,
right to use, right to distribute, right to read, right to audit, etc.).

The one or more user choice records 478 referenced by rights
record header 476 sets forth the user choices corresponding to
access and/or use of the corresponding VDE object 300. There will
typically be a rights record 476 for each right authorized to the
corresponding user or user group. These rights govern use of the
VDE object 300 by that user or user group. For instance, the user
may have an "access* right, and an "extraction" right, but not a
"copy* right. Other rights controlled by rights record 476 (which is
derived from PERC 808 using a REGISTER method in the
preferred embodiment) include distribution rights, audit rights,
and pricing rights. When an object 300 is registered with the
electronic appliance 600 and is registered with a particular user or
user group, the user may be permitted to select among various
usage methods set forth in PERC 808. For instance, a VDE object
300 might have two required meter methodologies: one for billing
purposes, and one for accumulating data concerning the
promotional materials used by the user. The user might be given
the choice of a variety of meter/billing methods, such as: payment
by VISA or MasterCard; choosing between billing based upon the
quantity of material retrieved from an information database, based
on the time of use, and/or both. The user might be offered a
discount on time and/or quantity billing if he is willing to allow
certain details concerning his retrieval of content to be provided to
third parties (e.g., for demographic purposes). At the time of
registration of an object and/or user for the object, the user would
be asked to select a particular meter methodology as the "active
metering method" for the first acquired meter. A VDE distributor

400

(0064091.01)

might narrow the universe of available choices for the user to a
subset of the original selection array stipulated by PERC 808.
These user selection and configuration settings are stored within
user choice records 480(1), 480(2), 480(N). The user choice records
need not be explicitly set forth within user rights table 464;
instead, it is possible for user choice records 480 to refer (e.g., by
site reference number) to particular VDE methods and/or
information parameterizing those methods. Such reference by
user choice records 480 to method 1000 should be validated by
validation tags contained within the user choice records. Thus,
user choice records 480 in the preferred embodiment may select
one or more methods 1000 for use with the corresponding VDE
object 300 (as is shown in Figure 27). These user choice records
480 may themselves fully define the methods 1000 and other
information used to build appropriate components assemblies 690
for implementing the methods. Alternatively, the user/object
record 462 used to reference the user rights record 464 may also
reference the PERC 808 corresponding to VDE object 300 to
provide additional information needed to build the component
assembly 690 and/or otherwise access the VDE object 300. For
example, PERC 808 may be accessed to obtain MDEs 1202
pertaining to the selected methods, private body and/or rights keys
for decrypting and/or encrypting object contents, and may also be
used to provide a checking capability ensuring that the user rights
record conveys only those rights authorized by a current
authorization embodied within a PERC.

In one embodiment provided by the present invention, a
conventional database engine may be used to store and organize
secure database 610, and the encryption layers discussed above

401

(0064091.01)

may be "on top of the conventional database structure. However,
if such a conventional database engine is unable to organize the
records in secure database 610 and support the security
considerations outlined above, then electronic appliance 600 may
maintain separate indexing structures in encrypted form. These
separate indexing structures can be maintained by SPE 503. This
embodiment would require SPE 503 to decrypt the index and
search decrypted index blocks to find appropriate "site record IDs"
or other pointers. SPE 503 might then request the indicated
record from the conventional database engine. If the record ID
cannot be checked against a record list, SPE 503 might be
required to ask for the data file itself so it can retrieve the desired
record. SPE 503 would then perform appropriate authentication
to ensure that the file has not been tampered with and that the
proper block is returned. SPE 503 should not simply pass the
index to the conventional database engine (unless the database
engine is itself secure) since this would allow an incorrect record to
be swapped for the requested one.

Figure 34 is an example of how the site record numbers
described above may be used to access the various data structures
within secure database 610. In this example, secure database 610
further includes a site record table 482 that stores a plurality of
site record numbers. Site record table 482 may store what is in
effect a "master list" of all records within secure database 610.
These site record numbers stored by site record table 482 permit
any record within secure database 610 to be accessed. Thus, some
of the site records within site record table 482 may index records
with an object registration table 460, other site record numbers
within the site record table may index records within the

402

(0064091.01)

•

user/object table 462, still other site record numbers within the
site record table may access records within URT 464, and still
other site record numbers within the site record table may access
PERCs 808. In addition, each of method cores 1000' may also
include a site record number so they may be accessed by site
record table 482.

Figure 34A shows an example of a site record 482(j) within
site record table 482. Site record 4820) may include a field 484(1)
indicating the type of record, a field 484(2) indicating the owner or
creator of the record, a "class u field 484(3) and an "instance" field
484(4) providing additional information about the record to which
the site record 4820) points; a specific descriptor field 484(5)
indicating some specific descriptor (e.g., object ID) associated with
the record; an identification 484(6) of the table or other data
structure which the site record references; a reference and/or offset
within that data structure indicating where the record begins; a
validation tag 484(8) for validating the record being looked up, and
a check value field 484(9). Fields 484(6) and 484(7) together may
provide the mechanism by which the record referenced to by the
site record 4840) is actually physically located within the secure
database 610.

Updating Secure Database 610

Figure 35 show an example of a process 1150 which can be
used by a clearinghouse, VDE administrator or other VDE
participant to update the secure database 610 maintained by an
end user's electronic appliance 600. For example, the process 1500
shown in Figure 35 might be used to collect "audit trail" records

403

(0064091.01)

within secure database 610 and/or provide new budgets and
permissions (e.g., PERCs 808) in response to an end user's request.

Typically, the end user's electronic appliance 600 rr, y
initiate communications with a clearinghouse (Block 1152). This
contact may, for example, be established automatically or in
response to a user command. It may be initiated across the
electronic highway 108, or across other communications networks
such as a LAN, WAN, two-way cable or using portable media
exchange between electronic appliances. The process of
exchanging administrative information need not occur in a single
"on line a session, but could instead occur over time based on a
number of different one-way and/or two-way communications over
the same or different communications means. However, the
process 1150 shown in Figure 35 is a specific example where the
end user's electronic appliance 600 and the other VDE participant
(e.g., a clearinghouse) establish a two-way real-time interactive
communications exchange across a telephone line, network,
electronic highway 108, etc.

The end user's electronic appliance 600 generally contacts a
particular VDE administrator or clearinghouse. The identity of
the particular clearinghouse is based on the VDE object 300 the
user wishes to access or has already accessed. For example,
suppose the user has already accessed a particular VDE object 300
and has run out of budget for further access. The user could issue
a request which will cause her electronic appliance 600 to
automatically contact the VDE administrator, distributor and/or
financial clearinghouse that has responsibility for that particular
object. The identity of the appropriate VDE participants to contact

404

(0064091.01)

is provided in the example by information within UDEs 1200,
MDEs 1202, the Object Registration Table 460 and/or Subject
Table 462, for example. Electronic appliance 600 may have to
contact multiple VDE participants (e.g., to distribute audit records
to one participant, obtain additional budgets or other permissions
from another participant, etc.). The contact 1152 may in one
example be scheduled in accordance with the Figure 27 Shipping
Table 444 and the Figure 29 Administrative Event Log 442.

Once contact is established, the end user's electronic
appliance and the clearinghouse typically authenticate one another
and agree on a session key to use for the real-time information
exchange (Block 1154). Once a secure connection is established,
the end user's electronic appliance may determine (e.g., based on
Shipping Table 444) whether it has any administrative object(s)
containing audit information that it is supposed to send to the
clearinghouse (decision Block 1156). Audit information pertaining
to several VDE objects 300 may be placed within the same
administrative object for transmission, or different administrative
objects may contain audit information about different objects.
Assuming the end user's electronic appliance has at least one such
administrative object to send to this particular clearinghouse
Cyes a exit to decision Block 1156), the electronic appliance sends
that administrative object to the clearinghouse via the now-
established secure real-time communications (Block 1158). In one
specific example, a single administrative object may be sent an
administrative object containing audit information pertaining to
multiple VDE objects, with the audit information for each different
object compromising a separate "event" within the administrative
object.

(0064091.01)

The clearinghouse may receive the administrative object and
process its contents to determine whether the contents are "valid"
and "legitimate." For example, the clearinghouse may analyze the
contained audit information to determine whether it indicates
misuse of the applicable VDE object 300. The clearinghouse may,
as a result of this analysis, may generate one or more responsive
administrative objects that it then sends to the end user's
electronic appliance 600 (Block 1160). The end user's electronic
appliance 600 may process events that update its secure database
610 and/or SPU 500 contents based on the administrative object
received (Block 1162). For example, if the audit information
received by the clearinghouse is legitimate, then the clearinghouse
may send an administrative object to the end user's electronic
appliance 600 requesting the electronic appliance to delete and/or
compress the audit information that has been transferred.
Alternatively or in addition, the clearinghouse may request
additional information from the end-user electronic appliance 600
at this stage (e.g., retransmission of certain information that was
corrupted during the initial transmission, transmission of
additional information not earlier transmitted, etc.). If the
clearinghouse detects misuse based on the received audit
information, it may transmit an administrative object that revokes
or otherwise modifies the end user's right to further access the
associated VDE objects 300.

The clearinghouse may, in addition or alternatively, send an
administrative object to the end user's electronic appliance 600
that instructs the electronic appliance to display one or more
messages to the user. These messages may inform the user about
certain conditions and/or they may request additional information

(0064091.01)

from the user. For example, the message may instruct the end
user to contact the clearinghouse directly by telephone or
otherwise to resolve an indicated problem, enter a PIN, or it may
instruct the user to contact a new service company to re-register
the associated VDE object. Alternatively, the message may tell
the end user that she needs to acquire new usage permissions for
the object, and may inform the user of cost, status and other
associated information.

During the same or different communications exchange, the
same or different clearinghouse may handle the end user's request
for additional budget and/or permission pertaining to VDE object
300. For example, the end user's electronic appliance 600 may
(e.g., in response to a user input request to access a particular
VDE object 300) send an administrative object to the
clearinghouse requesting budgets and/or other permissions
allowing access (Block 1164). As mentioned above, such requests
may be transmitted in the form of one or more administrative
objects, such as, for example, a single administrative object having
multiple "events" associated with multiple requested budgets
and/or other permissions for the same or different VDE objects
300. The clearinghouse may upon receipt of such a request, check
the end user's credit, financial records, business agreements and/or
audit histories to determine whether the requested budgets and/or
permissions should be given. The clearinghouse may, based on
this analysis, send one or more responsive administrative objects
which cause the end user's electronic appliance 600 to update its
secure database in response (Block 1166, 1168). This updating
might, for example, comprise replacing an expired PERC 808 with
a fresh one, modifying a PERC to provide additional (or lesser)

(0064091.01)

rights, etc. Steps 1164-1168 may be repeated multiple times in
the same or different communications session to provide further
updates to the end user's secure database 610.

Figure 36 shows an example of how a new record or element
may be inserted into secure database 610. The load process 1070
shown in Figure 35 checks each data element or item as it is
loaded to ensure that it has not been tampered with, replaced or
substituted. In the process 1070 shown in Figure 35, the first step
that is performed is to check to see if the current user of electronic
appliance 600 is authorized to insert the item into secure database
610 (block 1072). This test may involve, in the preferred
embodiment, loading (or using already loaded) appropriate
methods 1000 and other data structures such as UDEs 1200 into
an SPE 503, which then authenticates user authorization to make
the change to secure database 610 (block 1074). If the user is
approved as being authorized to make the change to secure
database 610, then SPE 503 may check the integrity of the
element to be added to the secure database by decrypting it (block
1076) and determining whether it has become damaged or
corrupted (block 1078). The element is checked to ensure that it
decrypts properly using a predetermined management file key, and
the check value may be validated. In addition, the public and
private header ID tags (if present) may be compared to ensure
that the proper element has been provided and had not been
substituted, and the unique element tag ID compared against the
predetermined element tag. If any of these tests fail, the element
may be automatically rejected, error corrected, etc. Assuming the
element is found to have integrity, SPE 503 may re-encrypt the
information (block 1080) using a new key for example (see Figure

408

(0064091.01)

37 discussion below). In the same process step an appropriate tag
is preferably provided so that the information becomes encrypted
within a security wrapper having appropriate tags contained
therein (block 1082). SPE 503 may retain appropriate tag
information so that it can later validate or otherwise authenticate
the item when it is again read from secure database 610 (block
1084). The now-secure element within its security wrapper may
then be stored within secure database 610.

Figure 37 shows an example of a process 1050 used in the
preferred embodiment database to securely access an item stored
in secure database 610. In the preferred embodiment, SPE 503
first accesses and reads in the item from secure database 610
records. SPE 503 reads this information from secure database 610
in encrypted form, and may "unwrap" it (block 1052) by decrypting
it (block 1053) based on access keys internally stored within the
protected memory of an SPU 500. In the preferred embodiment,
this "unwrap" process 1052 involves sending blocks of information
to encrypt/decrypt engine 522 along with a management file key
and other necessary information needed to decrypt. Decrypt
engine 522 may return "plaintext" information that SPE 503 then
checks to ensure that the security of the object has not been
breached and that the object is the proper object to be used (block
1054). SPE 503 may then check all correlation and access tags to
ensure that the read-in element has not been substituted and to
guard against other security threats (block 1054). Part of this
"checking" process involves checking the tags obtained from the
secure database 610 with tags contained within the secure memory
or an SPU 500 (block 1056). These tags stored within SPU 500
may be accessed from SPU protected memory (block 1056) and

(0064091.01)

used to check further the now-unwrapped object. Assuming this
"checking" process 1054 does not reveal any improprieties (and
block 1052 also indicates that the object has not become corrupted
or otherwise damaged), SPE 503 may then access or otherwise use
the item (block 1058). Once use of the item is completed, SPE 503
may need to store the item back into secure database 610 if it has
changed. If the item has changed, SPE 503 will send the item in
its changed form to encrypt/decrypt engine 522 for encryption
(block 1060), providing the appropriate necessary information to
the encrypt/decrypt engine (e.g., the appropriate same or different
management file key and data) so that the object is appropriately
encrypted. A unique, new tag and/or encryption key may be used
at this stage to uniquely tag and/or encrypt the item security
wrapper (block 1062; see also detailed Figure 37 discussion below).
SPE 503 may retain a copy of the key and/or tag within a
protected memory of SPU* 500 (block 1064) so that the SPE can
decrypt and validate the object when it is again read from secure
database 610.

The keys to decrypt secure database 610 records are, in the
preferred embodiment, maintained solely within the protected
memory of an SPU 500. Each index or record update that leaves
the SPU 500 may be time stamped, and then encrypted with a
unique key that is determined by the SPE 503. For example, a
key identification number may be placed n in plain view" at the
front of the records of secure database 610 so the SPE 503 can
determine which key to use the next time the record is retrieved.
SPE 503 can maintain the site ID of the record or index, the key
identification number associated with it, and the actual keys in
the list internal to the SPE. At some point, this internal list may

410

(0064091.01)

•

fill up. At this point, SPE 503 may call a maintenance routine
that re-encrypts items within secure database 610 containing
changed information. Some or all of the items within the data
structure containing changed information may be read in,
decrypted, and then re-encrypted with the same key. These items
may then be issued the same key identification number. The
items may then be written out of SPE 503 back into secure
database 610. SPE 503 may then clear the internal list of item
IDs and corresponding key identification numbers. It may then
begin again the process of assigning a different key and a new key
identification number to each new or changed item. By using this
process, SPE 503 can protect the data structures (including the
indexes) of secure database 610 against substitution of old items
and against substitution of indexes for current items. This process
also allows SPE 503 to validate retrieved item IDs against the
encrypted list of expected IDs.

Figure 38 is a flowchart showing this process in more detail.
Whenever a secure database 610 item is updated or modified, a
new encryption key can be generated for the updated item.
Encryption using a new key is performed to add security and to
prevent misuse of backup copies of secure database 610 records.
The new encryption key for each updated secure database 610
record may be stored in SPU 500 secure memory with an
indication of the secure database record or record(s) to which it
applies.

SPE 503 may generate a new encryption/decryption key for
each new item it is going to store within secure database 610
(block 1086). SPE 503 may use this new key to encrypt the record

(0064091.01)

prior to storing it in the secure database (block 1088). SPE 503
make sure that it retains the key so that it can later read and
decrypt the record. Such decryption keys are, in the preferred
embodiment, maintained within protected non-volatile memory
(e.g., NVRAM 534b) within SPU 500. Since this protected memory
has a limited size, there may not be enough room within the
protected memory to store a new key. This condition is tested for
by decision block 1090 in the preferred embodiment. If there is
not enough room in memory for the new key (or some other event
such as the number of keys stored in the memory exceeding a
predetermined number, a timer has expired, etc.), then the
preferred embodiment handles the situation by re-encrypting other
records with secure database 610 with the same new key in order
to reduce the number of (or change) encryption/decryption keys in
use. Thus, one or more secure database 610 items may be read
from the secure database (block 1092), and decrypted using the old
key(s) used to encrypt them the last time they were stored. In the
preferred embodiment, one or more "old keys" are selected, and all
secure database items encrypted using the old key(s) are read and
decrypted. These records may now be re-encrypted using the new
key that was generated at block 1086 for the new record (block
1094). The old key(s) used to decrypt the other record(s) may now
be removed from the SPU protected memory (block 1096), and the
new key stored in its place (block 1097). The old key(s) cannot be
removed from secure memory by block 1096 unless SPE 503 is
assured that all records within the secure database 610 that were
encrypted using the old key(s) have been read by block 1092 and
re -encrypted by block 1904 using the new key. All records
encrypted (or re-encrypted) using the new key may now be stored
in secure database 610 (block 1098). If decision block 1090

412

(0064091.01)

•

determines there is room within the SPU 500 protected memory to
store the new key, then the operations of blocks 1092, 1094, 1096
are not needed and SPE 503 may instead simply store the new key
within the protected memory (block 1097) and store the new
encrypted records into secure database 610 (block 1098).

The security of secure database 610 files may be further
improved by segmenting the records into "compartments"
Different encryption/decryption keys may be used to protect
different "compartments" This strategy can be used to limit the
amount of information within secure database 610 that is
encrypted with a single key. Another technique for increasing
security of secure database 610 may be to encrypt different
portions of the same records with different keys so that more than
one key may be needed to decrypt those records.

Backup of Secure Database 610

Secure database 610 in the preferred embodiment is backed
up at periodic or other time intervals to protect the information
the secure database contains. This secure database information
may be of substantial value to many VDE participants. Back ups
of secure database 610 should occur without significant
inconvenience to the user, and should not breach any security.

The need to back up secure database 610 may be checked at
power on of electronic appliance 600, when SPE 503 is initially
invoked, at periodic time intervals, and if "audit roll up" value or
other summary services information maintained by SPE 503
exceeds a user set or other threshold, or triggered by criteria
established by one or more content publishers and/or distributors

(0064091.01)

and/or clearinghouse service providers and/or users. The user may
be prompted to backup if she has failed to do so by or at some
certain point in time or after a certain duration of time or quantity
of usage, or the backup may proceed automatically without user
intervention.

Referring to Figure 8, backup storage 668 and storage media
670 (e.g., magnetic tape) may be used to store backed up
information. Of course, any non-volatile media (e.g., one or more
floppy diskettes, a writable optical diskette, a hard drive, or the
like) may be used for backup storage 668.

There are at least two scenarios to backing up secure
database 610. The first scenario is "site specific," and uses the
security of SPU 500 to support restoration of the backed up
information. This first method is used in case of damage to secure
database 610 due for example to failure of secondary storage
device 652, inadvertent user damage to the files, or other
occurrences that may damage or corrupt some or all of secure
database 610. This first, site specific scenario of back up assumes
that an SPU 500 still functions properly and is available to restore
backed up information.

The second back up scenario assumes that the user's SPU
500 is no longer operational and needs to be, or has been, replaced.
This second approach permits an authorized VDE administrator or
other authorized VDE participant to access the stored back up
information in order to prevent loss of critical data and/or assist
the user in recovering from the error.

414

(0064091.01)

Both of these scenarios are provided by the example of
program control steps performed by ROS 602 shown in Figure 39.
Figure 39 shows an example back up routine 1250 performed by
an electronic appLance 600 to back up secure database 610 (and
other information) onto back up storage 668. Once a back up has
been initiated, as discussed above, back up routine 1250 generates
one or more back up keys (block 1252). Back up routine 1250 then
reads all secure database items, decrypts each item using the
original key used to encrypt them before they were stored in
secure database 610 (block 1254). Since SPU 500 is typically the
only place where the keys for decrypting this information within
an instance of secure database 610 are stored, and since one of the
scenarios provided by back up routine 1250 is that SPU 500
completely failed or is destroyed, back up routine 1250 performs
this reading and decrypting step 1254 so that recovery from a
backup is not dependent on knowledge of these keys within the
SPU. Instead, back up routine 1250 encrypts each secure
database 610 item with a newly generated back up key(s) (block
1256) and writes the encrypted item to back up store 668 (block
1258). This process continues until all items within secure
database 610 have been read, decrypted, encrypted with a newly
generated back up key(s), and written to the back up store (as
tested for by decision block 1260).

The preferred embodiment also reads the summary services
audit information stored within the protected memory of SPU 500
by SPE summary services manager 560, encrypts this information
with the newly generated back up key(s), and writes this summary
services information to back up store 668 (block 1262).

415

(0064091.01)

Finally, back up routine 1250 saves the back up key(s)
generated by block 1252 and used to encrypt in blocks 1256, 1262
onto back up store 668. It does this in two secure ways in order to
cover both of the restoration scenarios discussed above. Back up
routine 1250 may encrypt the back up key(s) (along with other
information such as the time of back up and other appropriate
information to identify the back up) with a further key or keys
such that only SPU 500 can decrypt (block 1264). This encrypted
information is then written to back up store 668 (block 1264). For
example, this step may include multiple encryptions using one or
more public keys with corresponding private keys known only to
SPU 500. Alternatively, a second back up key generated by the
SPU 500 and kept only in the SPU may be used for the final
encryption in place of a public key. Block 1264 preferably includes
multiple encryption in order to make it more difficult to attack the
security of the back up by "cracking" the encryption used to protect
the back up keys. Although block 1262 includes encrypted
summary services information on the back up, it preferably does
not include SPU device private keys, shared keys, SPU code and
other internal security information to prevent this information
from ever becoming available to users even in encrypted form.

The information stored by block 1264 is sufficient to allow
the same SPU 500 that performed (or at least in part performed)
back up routine 1250 to recover the backed up information.
However, this information is useless to any device other than that
same SPU because only that SPU knows the particular keys used
to protect the back up keys. To cover the other possible scenario
wherein the SPU 500 fails in a non-recoverable way, back up
routine 1250 provides an additional step (block 1266) of saving the

416

(0064091.01)

back up key(s) under protection of one or more further set of keys
that may be read by an authorized VDE administrator. For
example, block 1266 may encrypt the back up keys with an
"download authorization k y" received during initialization of SPU
500 from a VDE administrator. This encrypted version of back up
keys is also written to back up store 668 (block 1266). It can be
used to support restoration of the back up files in the event of an
SPU 500 failure. More specifically, a VDE administrator that
knows the download authorization (or other) keys(s) used by block
1266 may be able to recover the back up key(s) in the back up
store 668 and proceed to restore the backed up secure database
610 to the same or different electronic appliance 600.

In the preferred embodiment, the information saved by
routine 1250 in back up files can be restored only after receiving a
back up authorization from an authorized VDE administrator. In
most cases, the restoration process will simply be a restoration of
secure database 610 with some adjustments to account for any
visage since the back up occurred. This may require the user to
contact additional providers to transmit audit and billing data and
receive new budgets to reflect activity since the last back up.
Current summary services information maintained within SPU
500 may be compared to the summary services information stored
on the back up to determine or estimate most recent usage
activity.

In case of an SPU 500 failure, an authorized VDE
administrator must be contacted to both initialize the replacement
SPU 500 and to decrypt the back up files. These processes allow
for both SPU failures and upgrades to new SPUs. In the case of

417

(0064091.01)

restoration, the back up files are used to restore the necessary
information to the user's system. In the case of upgrades, the back
up files may be used to validate the upgrade process.

The back up files may in some instances be used to transfer
management information between electronic appliances 600.
However, the preferred embodiment may restrict some or all
information from being transportable between electronic
appliances with appropriate authorizations. Some or all of the
back up files may be packaged within an administrative object and
transmitted for analysis, transportation, or other uses.

As a more detailed example of a need for restoration from
back up files, suppose an electronic appliance 600 suffers a hard
disk failure or other accident that wipes out or corrupts part or all
of the secure database 610, but assume that the SPU 500 is still
functional. SPU 500 may include all of the information (e.g.,
secret keys and the like) it needs to restore the secure database
610. However, ROS 602 may prevent secure database restoration
until a restoration authorization is received from a VDE
administrator. A restoration authorization may comprise, for
example, a "secret value" that must match a value expected by
SPE 503. A VDE administrator may, if desired, only provide this
restoration authorization after, for example, summary services
information stored within SPU 500 is transmitted to the
administrator in an administrative object for analysis. In some
circumstances, a VDE administrator may require that a copy
(partial or complete) of the back up files be transmitted to it
within an administrative object to check for indications of
fraudulent activities by the user. The restoration process, once

418

(0064091.01)

•

authorized, may require adjustment of restored budget records and
the like to reflect activity since the last back up, as mentioned
above.

Figure 40 is an example of program controlled "restore"
routine 1268 performed by electronic appliance 600 to restore
secure database 610 based on the back up provided by the routine
shown in Figure 38. This restore may be used, for example, in the
event that an electronic appliance 600 has failed but can be
recovered or "reinitialized" through contact with a VDE
administrator for example. Since the preferred embodiment does
not permit an SPU 500 to restore from backup unless and until
authorized by a VDE administrator, restore routine 1268 begins by
establishing a secure communication with a VDE administrator
that can authorize the restore to occur (block 1270). Once SPU
500 and the VDE administrator authenticate one another (part of
block 1270), the VDE administrator may extract "work in
progress" and summary values from the SPU 500's internal non-
volatile memory (block 1272). The VDE administrator may use
this extracted information to help determine, for example, whether
there has been a security violation, and also permits a failed SPU
500 to effectively "dump" its contents to the VDE administrator to
permit the VDE administrator to handle the contents. The SPU
500 may encrypt this information and provide it to the VDE
administrator packaged in one or more administrative objects.
The VDE administrator may then request a copy of some or all of
the current backup of secure database 610 from the SPU 500
(block 1274). This information may be packaged by SPU 500 into
one or more administrative objects, for example, and sent to the
VDE administrator. Upon receiving the information, the VDE

419

(0064091.01)

administrator may read the summary services audit information
from the backup volume (i.e., information stored by Figure 38
block 1262) to determine the summary values and other
information store at time of backup. The VDE administrator
may also determine the time and date the backup was made by
reading the information stored by Figure 38 block 1264.

The VDE administrator may at this point restore the
summary values and other information within SPU 500 based on
the information obtained by block 1272 and from the backup (block
1276). For example, the VDE administrator may reset SPU
internal summary values and counters so that they are consistent
with the last backup. These values may be adjusted by the VDE
administrator based on the "work in progress - recovered by block
1272, the amount of time that has passed since the backup, etc.
The goal may typically be to attempt to provide internal SPU
values that are equal to what they would have been had the
failure not occurred.

The VDE administrator may then authorize SPU 500 to
recover its secure database 610 from the backup files (block 1278).
This restoration process replaces all secure database 610 records
with the records from the backup. The VDE administrator may
adjust these records as needed by passing commands to SPU 500
during or after the restoration process.

The VDE administrator may then compute bills based on the
recovered values (block 1280), and perform other actions to recover
from SPU downtime (block 1282). Typically, the goal is to bill the
user and adjust other VDE 100 values pertaining to the failed

420

(0064091.01)

electronic appliance 600 for usage that occurred subsequent to the
last backup but prior to the failure. This process may involve the
VDE administrator obtaining, from other VDE participants,
reports and other information pertaining to usdge by the electronic
appliance prior to its failure and comparing it to the secure
database backup to determine which usage and other events are
not yet accounted for.

In one alternate embodiment, SPU 500 may have sufficient
internal, non-volatile memory to allow it to store some or all of
secure database 610. In this embodiment, the additional memory
may be provided by additional one or more integrated circuits that
can be contained within a secure enclosure, such as a tamper
resistant metal container or some form of a chip pack containing
multiple integrated circuit components, and which impedes and/or
evidences tampering attempts, and/or disables a portion or all of
SPU 500 or associated critical key and/or other control information
in the event of tampering. The same back up routine 1250 shown
in Figure 38 may be used to back up this type of information, the
only difference being that block 1254 may read the secure
database item from the SPU internal memory and may not need to
decrypt it before encrypting it with the back up key(s).

Event-Driven VDE Processes

As discussed above, processes provided by/under the
preferred embodiment rights operating system (ROS) 602 may be
"event driven" This "event driven* capability facilitates
integration and extendibility.

(0064091.01)

An "event" is a happening at a point in time. Some
examples of "events" are a user striking a key of a keyboard,
arrival of a message or an object 300, expiration of a timer, or a
request from another proc^ s.

In the preferred embodiment, ROS 602 responds to an
"event" by performing a process in response to the event. ROS 602
dynamically creates active processes and tasks in response to the
occurrence of an event. For example, ROS 602 may create and
begin executing one or more component assemblies 690 for
performing a process or processes in response to occurrence of an
event. The active processes and tasks may terminate once ROS
602 has responded to the event. This ability to dynamically create
(and end) tasks in response to events provides great flexibility, and
also permits limited execution resources such as those provided by
an SPU 500 to perform a virtually unlimited variety of different
processes in different contexts.

Since an "event" may be any type of happening, there are an
unlimited number of different events. Thus, any attempt to
categorize events into different types will necessarily be a
generalization. Keeping this in mind, it is possible to categorize
events provided/supported by the preferred embodiment into two
broad categories:

• user-initiated events; and

• system-initiated events.

Generally, "user-initiated" events are happenings
attributable to a user (or a user application). A common "user-

422

(0064091.01)

initiated" event is a user's request (e.g., by pushing a keyboard
button, or transparently using redirector 684) to access an object
300 or other VDE-protected information.

"System-initiated" events are generally happenings not
attributable to a user. Examples of system initiated events
include the expiration of a timer indicating that information
should be backed to non-volatile memory, receipt of a message
from another electronic appliance 600, and a service call generated
by another process (which may have been started to respond to a
system-initiated event and/or a user-initiated event).

ROS 602 provided by the preferred embodiment responds to
an event by specifying and beginning processes to process the
event. These processes are, in the preferred embodiment, based on
methods 1000. Since there are an unlimited number of different
types of events, the preferred embodiment supports an unlimited
number of different processes to process events. This flexibility is
supported by the dynamic creation of component assemblies 690
from independently deliverable modules such as method cores
1000', load modules 1100, and data structures such as UDEs 1200.
Even though any categorization of the unlimited potential types of
processes supported/provided by the preferred embodiment will be
a generalization, it is possible to generally classify processes as
falling within two categories:

• processes relating to use of VDE protected information; and

• processes relating to VDE administration.

423

(0064091.01)

"Use* and "Administrative* Processes

"Use" processes relate in some way to use of VDE-protected
information. Methods 1000 provided by the preferred embodiment
may provide processes for creating aM maintaining a chain of
control for use of VDE-protected information. One specific
example of a "use" type process is processing to permit a user to
open a VDE object 300 and access its contents. A method 1000
may provide detailed use-related processes such as, for example,
releasing content to the user as requested (if permitted), and
updating meters, budgets, audit trails, etc. Use-related processes
are often user-initiated, but some use processes may be system-
initiated. Events that trigger a VDE use-related process may be
called "use events."

An "administrative* process helps to keep VDE 100 working.
It provides processing that helps support the transaction
management "infrastructure" that keeps VDE 100 running
securely and efficiently. Administrative processes may, for
example, provide processing relating to some aspect of creating,
modifying and/or destroying VDE-protected data structures that
establish and maintain VDE's chain of handling and control. For
example, "administrative" processes may store, update, modify or
destroy information contained within a VDE electronic appliance
600 secure database 610. Administrative processes also may
provide communications services that establish, maintain and
support secure communications between different VDE electronic
appliances 600. Events that trigger administrative processes may
be called "administrative events."

424

(0064091.01)

Reciprocal Methods

Some VDE processes are paired based on the way they
interact together. One VDE process may "request" processing
services from another VDE process. The process that requests
processing services may be called a "request process." The
"request" constitutes an "event" because it triggers processing by
the other VDE process in the pair. The VDE process that
responds to the "request event" may be called a "response process."
The "request process" and "response process" may be called
"reciprocal processes."

The "request event" may comprise, for example, a message
issued by one VDE node electronic appliance 600 or process for
certain information. A corresponding "response process" may
respond to the "request event" by, for example, sending the
information requested in the message. This response may itself
constitute a "request event" if it triggers a further VDE "response
process." For example, receipt of a message in response to an
earlier-generated request may trigger a "reply process." This
"reply process" is a special type of "response process" that is
triggered in response to a "reply* from another "response process "
There may be any number of "request" and "response" process
pairs within a given VDE transaction.

A "request process" and its paired "response process" may be
performed on the same VDE electronic appliance 600, or the two
processes may be performed on different VDE electronic
appliances. Communication between the two processes in the pair
may be by way of a secure (VDE-protected) communication, an
"out of channel" communication, or a combination of the two.

425

(0064091.01)

Figures 41a-41d are a set of examples that show how the
chain of handling and control is enabled using "reciprocal
methods." A chain of handling and control is constructed, in part,
using one or more pairs of "reciprocal events" U at cooperate in
request-response manner. Pairs of reciprocal events may be
managed in the preferred embodiment in one or more "reciprocal
methods." As mentioned above, a "reciprocal method" is a method
1000 that can respond to one or more "reciprocal events."
Reciprocal methods contain the two halves of a cooperative process
that may be securely executed at physically and/or temporally
distant VDE nodes. The reciprocal processes may have a flexibly
defined information passing protocols and information content
structure. The reciprocal methods may, in fact, be based on the
same or different method core 1000' operating in the same or
different VDE nodes 600. VDE nodes 600A and 600B shown in
Figure 41a may be the same physical electronic appliance 600 or
may be separate electronic appliances.

Figure 41a is an example of the operation of a single pair of
reciprocal events. In VDE node 600A, method 1000a is processing
an event that has a request that needs to be processed at VDE
node 600B. The method 1000a (e.g., based on a component
assembly 690 including its associated load modules 1100 and data)
that responds to this "request" event is shown in Figure 41a as
1450. The process 1450 creates a request (1452) and, optionally,
some information or data that will be sent to the other VDE node
1000b for processing by a process associated with the reciprocal
event. The request and other information may be transmitted by
any of the transport mechanisms described elsewhere in this
disclosure.

426

(0064091.01)

Receipt of the request by VDE node 600b comprises a
response event at that node. Upon receipt of the request, the VDE
node 600b may perform a "reciprocal" process 1454 defined by the
same or different method 1000b to respond to the response event.
The reciprocal process 1454 may be based on a component
assembly 690 (e.g., one or more load modules 1100, data, and
optionally other methods present in the VDE node 600B).

Figure 41b extends the concepts presented in Figure 41a to
include a response from VDE node 600B back to VDE node 600A.
The process starts as described for Figure 41a through the receipt
and processing of the request event and information 1452 by the
response process 1454 in VDE node 600B. The response process
1454 may, as part of its processing, cooperate with another request
process (1468) to send a response 1469 back to the initiating VDE
node 600A. A corresponding reciprocal process 1470 provided by
method 1000A may respond to and process this request event
1469. In this manner, two or more VDE nodes 600A, 600B may
cooperate and pass configurable information and requests between
methods 1000A, 1000B executing in the nodes. The first and
second request-response sequences [(1450, 1452, 1454) and (1468,
1469, 1470)] may be separated by temporal and spatial distances.
For efficiency, the request (1468) and response (1454) processes
may be based on the same method 1000 or they may be
implemented as two methods in the same or different method core
1000'. A method 1000 may be parameterized by an "event code"
so it may provide different behaviors/results for different events, or
different methods may be provided for different events.

427

(0064091.01)

Figure 41c shows the extension the control mechanism
described in Figures 41a-41b to three nodes (600A, 600B, 600C).
Each request-response pair operates in the manner as described
for Figure 41b, with several pairs linked together to form a chain
of control and handling between several VDE nodes 600A, 600B,
600C. This mechanism may be used to extend the chain of
handling and control to an arbitrary number of VDE nodes using
any configuration of nodes. For example, VDE node 600C might
communicate directly to VDE node 600A and communicate directly
to VDE 600B, which in turn communicates with VDE node 600A.
Alternately, VDE node 600C might communicate directly with
VDE node 600A, VDE node 600A may communicate with VDE
node 600B, and VDE node 600B may communicate with VDE node
600C.

A method 1000 may be parameterized with sets of events
that specify related or cooperative functions. Events may be
logically grouped by function (e.g., use, distribute), or a set of
reciprocal events that specify processes that may operate in
conjunction with each other. Figure 41d illustrates a set of
"reciprocal events- that support cooperative processing between
several VDE nodes 102, 106, 112 in a content distribution model to
support the distribution of budget. The chain of handling and
control, in this example, is enabled by using a set of "reciprocal
events- specified within a BUDGET method. Figure 41d is an
example of how the reciprocal event behavior within an example
BUDGET method (1510) work in cooperation to establish a chain
of handling and control between several VDE nodes. The example
BUDGET method 1510 responds to a W event 1478 by
performing a "use- process 1476 that defines the mechanism by

428

(0064091.01)

which processes are budgeted. The BUDGET method 1510 might,
for example, specify a use process 1476 that compares a meter
count to a budget value and fail the operation if the meter count
exceeds the budget value. It might also write an audit trail that
describes the results of said BUDGET decisions. Budget method
1510 may respond to a "distribute" event by performing a
distribute process 1472 that defines the process and/or control
information for further distribution of the budget. It may respond
to a "request" event 1480 by performing a request process 1480
that specifies how the user might request use and/or distribution
rights from a distributor. It may respond to a "response* event
1482 by performing a response process 1484 that specifies the
manner in which a distributor would respond to requests from
other users to whom they have distributed some (or all) of their
budget to. It may respond to a "reply" event 1474 by performing a
reply process 1475 that might specify how the user should respond
to message regranting or denying (more) budget.

Control of event processing, reciprocal events, and their
associated methods and method components is provided by PERCs
808 in the preferred embodiment. These PERCs (808) might
reference administrative methods that govern the creation,
modification, and distribution of the data structures and
administrative methods that permit access, modification, and
further distribution of these items. In this way, each link in the
chain of handling and control might, for example, be able to
customize audit information, alter the budget requirements for
using the content, and/or control further distribution of these
rights in a manner specified by prior members along the
distribution chain.

(0064091.01)

In the example shown in Figure 4 Id, a distributor at a VDE
distributor node (106) might request budget from a content creator
at another node (102). This request may be made in the context of
a secure VDE communication or it may be passed in an "out-of-
channel" communication (e.g. a telephone call or letter). The
creator 102 may decide to grant budget to the distributor 106 and
processes a distribute event (1452 in BUDGET method 1510 at
VDE node 102). A result of processing the distribute event within
the BUDGET method might be a secure communication (1454)
between VDE nodes 102 and 106 by which a budget granting use
and redistribute rights to the distributor 106 may be transferred
from the creator 102 to the distributor. The distributor's VDE
node 106 may respond to the receipt of the budget information by
processing the communication using the reply process 1475B of the
BUDGET method 1510. The reply event processing 1475B might,
for example, install a budget and PERC 808 within the
distributor's VDE 106 node to permit the distributor to access
content or processes for which access is control at least in part by
the budget and/or PERC. At some point, the distributor 106 may
also desire to use the content to which she has been granted rights
to access.

After registering to use the content object, the user 112
would be required to utilize an array of "use* processes 1476C to,
for example, open, read, write, and/or close the content object as
part of the use process.

Once the distributor 106 has used some or all of her budget,
she may desire to obtain additional budget. The distributor 106
might then initiate a process using the BUDGET method request

430

(0064091.01)

process (1480B). Request process 1480B might initiate a
communication (1482AB) with the content creator VDE node 102
requesting more budget and perhaps providing details of the use
activity to date (e.g., audit trails). The content creator 102
processes the 'get more budget* request event 1482AB using the
response process (1484A) within the creator's BUDGET method
1510A. Response process 1484A might, for example, make a
determination if the use information indicates proper use of the
content, and/or if the distributor is credit worthy for more budget.
The BUDGET method response process 1484A might also initiate
a financial transaction to transfer funds from the distributor to
pay for said use, or use the distribute process 1472A to distribute
budget to the distributor 106. A response to the distributor 106
granting more budget (or denying more budget) might be sent
immediately as a response to the request communication 1482AB,
or it might be sent at a later time as part of a separate
communication. The response communication, upon being received
at the distributor's VDE node 106, might be processed using the
reply process 1475B within the distributor's copy of the BUDGET
method 1510B. The reply process 1475B might then process the
additional budget in the same manner as described above.

The chain of handling and control may, in addition to
posting budget information, also pass control information that
governs the manner in which said budget may be utilized. For
example, the control information specified in the above example
may also contain control information describing the process and
limits that apply to the distributor's redistribution of the right to
use the creator's content object. Thus, when the distributor
responds to a budget request from a user (a communication

(0064091.01)

between a user at VDE node 112 to the distributor at VDE node
106 similar in nature to the one described above between VDE
nodes 106 and 102) using the distribute process 1472B within the
distributor's copy of the BUDGET method 1510B, a distribution
and request/response/reply process similar to the one described
above might be initiated.

Thus, in this example a single method can provide multiple
dynamic behaviors based on different "triggering" events. For
example, single BUDGET method 1510 might support any or all of
the events listed below:

Event Type

Event

Process Description

"Use" Events

use budget

Use budget.

Request Events
Processed by User
Node Request
Process 1480c

request more budget

Request more money for budget.

request audit by auditor
#1

Request that auditor #1 audit the
budget use.

request budget deletion

Request that budget be deleted from
system.

request method updated

Update method used for auditing.

request to change auditors

Change from auditor 1 to auditor 2,
or vice versa.

request different audit
interval

Change time interval between audits.

request ability to provide
budget copies

Request ability to provide copies of a
budget.

request ability to
distribute budget

Request ability to distribute a budget
to other users.

request account status

Request information on current status
of an account.

Request New Method

Request new method.

Request Method Update

Request update of method.

432

(0064091.01)

Event Type

Aveni

iroctst u Ascription

Request Method Deletion

Request deletion of method.

Response Events

receive more budget

Allocate more money to budget.

Processed by User
Node Request

receive method update

Update method.

Process 1480C

I^AAIVA aiinif/t*

receive auditor cuange

v^uajige irom one auditor to anotner.

receive change to audit

intorval

Change interval between audits.

roroivft hurt era t flftlo^ion

reVClVC UUUgCt UC1CL1UU

vtwwi/iA mi nit tn Biinifnf

pruvxuo auiut irV auuiiur
#1

rurwaiu aiiuik ixiiuruittuuii iu aumiur

#1.

provide audit to auditor
#2

Forward audit information to auditor
#2.

receive account status

Provide account status.

Receive New

Receive new budget.

Receive Method Update

Receive updated information.

Receive More

Receive more for budget.

bent Audit

Send audit information.

Perform Deletion

Delete information.

Distribute b vents

Create New

Create new budget.

rrovide More

Provide more for budget.

Audit

.rertorm audit.

Delete

Delete information.

Reconcile

Reconcile budget and auditing. ~

Copy

Copy budget.

Uistnbute

Distribute budget.

Ma^ nod Mndifif*afiAfi
IMBIrUUU XUOIUUCclUUIl

XUOCUIjr UeiuDQ.

Display Method

Display requested method.

"Request" Events

Delete

Delete information.

Processed by
Distributor Node

Get New

Get new budget.

Request Process
1484B

Get More

Get more for budget.

(0064091.01)

Ev«nt Typ«

Evtnt

Procasa Daicrintion

Get Updated

Get undated informnHnn

Get Audited

Get audit information

"Response Events"
r zucessea oy
Distributor Node
Request Process
1484B

Provide New to user

Provide new budget to user.

Provide More to user

Provide more budget to user.

Provide Update to user

Provided updated budget to user.

Audit user

Audit a specified user.

Delete user's method

Delete method belonging to user.

Examples of Reciprocal Method Processes

A. BUDGET

Figures 42a, 42b, 42c and 42d, respectively, are flowcharts of
example process control steps performed by a representative
example of BUDGET method 2250 provided by the preferred
embodiment. In the preferred embodiment, BUDGET method
2250 may operate in any of four different modes:
use (see Figure 42a)
administrative request (see Figure 42b)
• administrative response (see Figure 42c)
administrative reply (see Figure 42d).
In general, the "use" mode of BUDGET method 2250 is invoked in
response to an event relating to the use of an object or its content.
The "administrative request" mode of BUDGET method 2250 is
invoked by or on behalf of the user in response to some user action
that requires contact with a VDE financial provider, and basically
its task is to send an administrative request to the VDE financial
provider. The "administrative response" mode of BUDGET method
2250 is performed at the VDE financial provider in response to
receipt of an administrative request sent fit>m a VDE node to the

434

(0064091.01)

VDE financial provider by the "administrative request" invocation
of BUDGET method 2250 shown in Figure 42b. The
"administrative response" invocation of BUDGET method 2250
results in the transmission of an administrative object from VDE
financial provider to the VDE user node. Finally, the
"administrative reply" invocation of BUDGET method 2250 shown
in Figure 42d is performed at the user VDE node upon receipt of
the administrative object sent by the "administrative response"
invocation of the method shown in Figure 42c.

In the preferred embodiment, the same BUDGET method
2250 performs each of the four different step sequences shown in
Figures 42a-42d. In the preferred embodiment, different event
codes may be passed to the BUDGET method 2250 to invoke these
various different modes. Of course, it would be possible to use four
separate BUDGET methods instead of a single BUDGET method
with four different "dynamic personalities," but the preferred
embodiment obtains certain advantages by using the same
BUDGET method for each of these four types of invocations.

Looking at Figure 42a, the "use" invocation of BUDGET
method 2250 first primes the Budget Audit Trail (blocks 2252,
2254). It then obtains the DTD for the Budget UDE, which it uses
to obtain and read the Budget UDE blocks 2256-2262). BUDGET
method 2250 in this "use" invocation may then determine whether
a Budget Audit date has expired, and terminate if it has ("yes" exit
to decision block 2264; blocks 2266, 2268). So long as the Budget
Audit date has not expired, the method may then update the
Budget using the atomic element and event counts (and possibly

435

(0064091.01)

other information) (blocks 2270, 2272), and may then save a
Budget User Audit record in a Budget Audit Trail UDE (blocks
2274, 2276) before terminating (at terminate point 2278).

Looking at Figure 42b, the first six steps (blocks 2280-2290)
may be performed by the user VDE node in response to some user
action (e.g., request to access new information, request for a new
budget, etc.). This "administrative request" invocation of
BUDGET method 2250 may prime an audit trail (blocks 2280,
2282). The method may then place a request for administrative
processing of an appropriate Budget onto a request queue (blocks
2284, 2286). Finally, the method may save appropriate audit trail
information (blocks 2288, 2290). Sometime later, the user VDE
node may prime a communications audit trail (blocks 2292, 2294),
and may then write a Budget Administrative Request into an
administrative object Oriock 2296). This step may obtain
information from the secure database as needed from such sources
such as, for example, Budget UDE; Budget Audit Trail UDE(s);
and Budget Administrative Request Record(s) (block 2298).

Block 2296 may then communicate the administrative object
to a VDE financial provider, or alternatively, block 2296 may pass
administrative object to a separate communications process or
method that arranges for such communications to occur. If
desired, method 2250 may then save a communications audit trail
(blocks 2300, 2302) before terminating (at termination point 2304).

Figure 42c is a flowchart of an example of process control
steps performed by the example of BUDGET method 2250

436

(0064091.01)

provided by the preferred embodiment operating in an
"administrative response" mode. Steps shown in Figure 42c would,
for example, be performed by a VDE financial provider who has
received an administrative object containing a Budget
administrative request as created (and communicated to a VDE
administrator for example) by Figure 42b (block 2296).

Upon receiving the administrative object, BUDGET method
2250 at the VDE financial provider site may prime a budget
communications and response audit trail (blocks 2306, 2308), and
may then unpack the administrative object and retrieve the
budget request(s), audit trail(s) and record(s) it contains (block
2310). This information retrieved from the administrative object
may be written by the VDE financial provider into its secure
database (block 2312). The VDE financial provider may then
retrieve the budget request(s) and determine the response method
it needs to execute to process the request (blocks 2314, 2316).
BUDGET method 2250 may send the event(s) contained in the
request record(s) to the appropriate response method and may
generate response records and response requests based on the
RESPONSE method (block 2318). The process performed by block
2318 may satisfy the budget request by writing appropriate new
response records into the VDE financial provider's secure database
(block 2320). BUDGET method 2250 may then write these Budget
administrative response records into an administrative object
(blocks 2322, 2324), which it may then communicate back to the
user node that initiated the budget request. BUDGET method
2250 may then save communications and response processing

437

(0064091.01)

*

audit trail information into appropriate audit trail UDE(s) (blocks
2326, 2328) before terminating (at termination point 2330).

Figure 42d is a flowchart of an example of program control
steps performed by a representative example of BUDGET method
2250 operating in an "administrative reply" mode. Steps shown in
Figure 42d might be performed, for example, by a VDE user node
upon receipt of an administrative object containing budget-related
information. BUDGET method 2250 may first prime a Budget
administrative and communications audit trail (blocks 2332, 2334)
BUDGET method 2250 may then extract records and requests
from a received administrative object and write the reply record to
the VDE secure database (blocks 2336, 2338). The VDE user node
may then save budget administrative and communications audit
trail information in an appropriate audit trail UDE(s) (blocks
2340, 2341).

Sometime later, the VDE user node may retrieve the reply
record from the secure database and determine what method is
required to process it (blocks 2344, 2346). The VDE user node
may, optionally, prime an audit trail (blocks 2342, 2343) to record
the results of the processing of the reply event. The BUDGET
method 2250 may then send event(s) contained in the reply
record(s) to the REPLY method, and may generate/update the
secure database records as necessary to, for example, insert new
budget records, delete old budget records and/or apply changes to
budget records (blocks 2348, 2350). BUDGET method 2250 may
then delete the reply record from the secure data base (blocks

438

(0064091.01)

2352, 2353) before writing the audit trail (if required) (blocks
2354m 2355) terminating (at terminate point 2356).

B. REGISTER

Figures 43a-43d are flowcharts of an example of program
control steps performed by a representative example of a
REGISTER method 2400 provided by the preferred embodiment.
In this example, the REGISTER method 2400 performs the
example steps shown in Figure 43a when operating in a "use"
mode, performs the example steps shown in Figure 43b when
operating in an "administrative request" mode, performs the steps
shown in Figure 43c when operating in an "administrative
response" mode, and performs the steps shown in Figure 43d when
operating in an "administrative reply" mode.

The steps shown in Figure 43a may be, for example,
performed at a user VDE node in response to some action by or on
behalf of the user. For example the user may ask to access an
object that has not yet been (or is not now) properly registered to
her. In response to such a user request, the REGISTER method
2400 may prime a Register Audit Trail UDE (blocks 2402, 2404)
before determining whether the object being requested has already
been registered (decision block 2406). If the object has already
been registered ("yes a exit to decision block 2406), the REGISTER
method may terminate (at termination point 2408). If the object is
not already registered ("no" exit to decision block 2406), then
REGISTER method 2400 may access the VDE node secure
database PERC 808 and/or Register MDE (block 2410).
REGISTER method 2400 may extract an appropriate Register

439

(0064091.01)

Record Set from this PERC 808 and/or Register MDE (block 2412),
and determine whether all of the required elements are present
that are needed to register the object (decision block 2414). If
some piece(s) is missing ("no" exit to decision block 2414),
REGISTER method 2400 may queue a Register request record to a
communication manager and then suspend the REGISTER method
until the queued request is satisfied (blocks 2416, 2418). Block
2416 may have the effect of communicating a register request to a
VDE distributor, for example. When the request is satisfied and
the register request record has been received (block 2420), then
the test of decision block 2414 is satisfied ("yes" exit to decision
block 2414), and REGISTER method 2400 may proceed. At this
stage, the REGISTER method 2400 may allow the user to select
Register options from the set of method options allowed by PERC
808 accessed at block 2410 (block 2422). As one simple example,
the PERC 808 may permit the user to pay by VISA or MasterCard
but not by American Express; block 2422 may display a prompt
asking the user to select between paying using her VISA card and
paying using her MasterCard (block 2424). The REGISTER
method 2400 preferably validates the user selected registration
options and requires the user to select different options if the
initial user options were invalid (block 2426, "no" exit to decision
block 2428). Once the user has made all required registration
option selections and those selections have been validated ("yes"
exit to decision block 2428), the REGISTER method 2400 may
write an User Registration Table (URT) corresponding to this
object and this user which embodies the user registration
selections made by the user along with other registration
information required by PERC 808 and/or the Register MDE

440

(0064091.01)

(blocks 2430, 2432). REGISTER method 2400 may then write a
Register audit record into the secure database (blocks 2432, 2434)
before terminating (at terminate point 2436).

Figure 43b shows an example of an "administrative request"
mode of REGISTER method 2400. This Administrative Request
Mode may occur on a VDE user system to generate an appropriate
administrative object for communication to a VDE distributor or
other appropriate VDE participant requesting registration
information. Thus, for example, the steps shown in Figure 43b
may be performed as part of the "queue register request record"
block 2416 shown in Figure 43a. To make a Register
administrative request, REGISTER method 2400 may first prime a
communications audit trail (blocks 2440, 2442), and then access
the secure database to obtain data about registration (block 2444).
This secure database access may, for example, allow the owner
and/or publisher of the object being registered to find out
demographic, user or other information about the user. As a
specific example, suppose that the object being registered is a
spreadsheet software program. The distributor of the object may
want to know what other software the user has registered. For
example, the distributor may be willing to give preferential pricing
if the user registers a "suite" of multiple software products
distributed by the same distributor. Thus, the sort of information
solicited by a "user registration* card enclosed with most standard
software packages may be solicited and automatically obtained by
the preferred embodiment at registration time. In order to protect
the privacy rights of the user, REGISTER method 2400 may pass
such user-specific data through a privacy filter that may be at

441

(0064091.01)

least in part customized by the user so the user can prevent
certain information from being revealed to the outside world (block
2446). The REGISTER method 2400 may write the resulting
infonnr tion along with appropriate Register Request information
identifying the object and other appropriate parameters into an
administrative object (blocks 2448, 2450). REGISTER method
2400 may then pass this administrative object to a
communications handler. REGISTER method 2400 may then save
a communications audit trail (blocks 2452, 2454) before
terminating (at terminate point 2456).

Figure 43c includes REGISTER method 2400 steps that may
be performed by a VDE distributor node upon receipt of Register
Administrative object sent by block 2448, Figure 43b. REGISTER
method 2400 in this "administrative response" mode may prime
appropriate audit trails (blocks 2460, 2462), and then may unpack
the received administrative object and write the associated register
request(s) configuration information into the secure database
(blocks 2464, 2466). REGISTER method 2400 may then retrieve
the administrative request from the secure database and
determine which response method to run to process the request
(blocks 2468, 2470). If the user fails to provide sufficient
information to register the object, REGISTER method 2400 may
fail (blocks 2472, 2474). Otherwise, REGISTER method 2400 may
send event(s) contained in the appropriate request record(s) to the
appropriate response method, and generate and write response
records and response requests (e.g., PERC(s) and/or UDEs) to the
secure database (blocks 2476, 2478). REGISTER method 2400
may then write the appropriate Register administrative response

(0064091.01)

record into an administrative object (blocks 2480, 2482). Such
information may include, for example, one or more replacement
PERC(s) 808, methods, UDE(s), etc. (block 2482). This enables, for
example, a distributor to distribute limited right permissions
giving users only enough information to register an object, and
then later, upon registration, replacing the limited right
permissions with wider permissioning scope granting the user
more complete access to the objects. REGISTER method 2400 may
then save the communications and response processing audit trail
(blocks 2484, 2486), before terminating (at terminate point 2488).

Figure 43d shows steps that may be performed by the VDE
user node upon receipt of the administrative object
generated/transmitted by Figure 43c block 2480. The steps shown
in Figure 43d are very similar to those shown in Figure 42d for
the BUDGET method administrative reply process.

C. AUDIT

Figures 44a-44c are flowcharts of examples of program
control steps performed by a representative example of an AUDIT
method 2520 provided by the preferred embodiment. As in the
examples above, the AUDIT method 2520 provides three different
operational modes in this preferred embodiment example: Figure
44a shows the steps performed by the AUDIT method in an
"administrative request* mode; Figure 44b shows steps performed
by the method in the "administrative response 41 mode; and
Figure 44c shows the steps performed by the method in an
"administrative reply" mode.

443

(0064091.01)

The AUDIT method 2520 operating in the "administrative
request" mode as shown in Figure 44a is typically performed, for
example, at a VDE user node based upon some request by or on
behalf of the use,. For example, the user may have requested an
audit, or a timer may have expired that initiates communication of
audit information to a VDE content provider or other VDE
participant. In the preferred embodiment, different audits of the
same overall process may be performed by different VDE
participants. A particular "audit" method 2520 invocation may be
initiated for any one (or all) of the involved VDE participants.
Upon invocation of AUDIT method 2520, the method may prime
an audit administrative audit trail (thus, in the preferred
embodiment, the audit processing may itself be audited) (blocks
2522, 2524). The AUDIT method 2520 may then queue a request
for administrative processing (blocks 2526, 2528), and then may
save the audit administrative audit trail in the secure database
(blocks 2530, 2532). Sometime later, AUDIT method 2520 may
prime a communications audit trail (blocks 2534, 2536), and may
then write Audit A<iministrative Requests) into one or more
administrative object(s) based on specific UDE, audit trail UDE(s),
and/or administrative record(s) stored in the secure database
(blocks 2538, 2540). The AUDIT method 2520 may then save
appropriate information into the communications audit trail
(blocks 2542, 2544) before terminating (at terminate point 2546).

Figure 44b shows example steps performed by a VDE
content provider, financial provider or other auditing VDE node
upon receipt of the administrative object generated and
communicated by Figure 44a block 2538. The AUDIT method

444

(0064091.01)

2520 in this "administrative response" mode may first prime an
Audit communications and response audit trail (blocks 2550,
2552), and may then unpack the received administrative object
and retrieve its contained Audit request(s) audit trail(s) and audit
record(s) for storage into the secured database (blocks 2554, 2556).
AUDIT method 2520 may then retrieve the audit request(s) from
the secure database and determine the response method to run to
process the request (blocks 2558, 2560). AUDIT method 2520 may
at this stage send event(s) contained in the request record(s) to the
appropriate response method, and generate response record(s) and
requests based on this method (blocks 2562, 2564). The processing
block 2562 may involve a communication to the outside world.

For example, AUDIT method 2520 at this point could call an
external process to perform, for example, an electronic funds
transfer against the user's bank account or some other bank
account. The AUDIT administrative response can, if desired, call
an external process that interfaces VDE to one or more existing
computer systems. The external process could be passed the user's
account number, PIN, dollar amount, or any other information
configured in, or associated with, the VDE audit trail being
processed. The external process can communicate with non-VDE
hosts and use the information passed to it as part of these
communications. For example, the external process could generate
automated clearinghouse (ACH) records in a file for submittal to a
bank. This mechanism would provide the ability to automatically
credit or debit a bank account in any financial institution. The
same mechanism could be used to communicate with the existing

445

(0064091.01)

credit card (e.g. VISA) network by submitting VDE based charges
against the charge account.

Once the appropriate Audit response record(s) have been
generated, AUDIT method 2520 may write an Audit
administrative record(s) into an administrative object for
communication back to the VDE user node that generated the
Audit request (blocks 2566, 2568). The AUDIT method 2520 may
then save communications and response processing audit
information in appropriate audit trail(s) (blocks 2570, 2572) before
terminating (at terminate point 2574).

Figure 44c shows an example of steps that may be
performed by the AUDIT method 2520 back at the VDE user node
upon receipt of the administrative object generated and sent by
Figure 44b, block 2566. The steps 2580-2599 shown in Figure 44c
are similar to the steps shown in Figure 43d for the REGISTER
method 2400 in the "administrative reply" mode. Briefly, these
steps involve receiving and extracting appropriate response
records from the administrative object (block 2584), and then
processing the received information appropriately to update secure
database records and perform any other necessary actions (blocks
2595, 2596).

Examples of Event-Driven Content-Based Methods

VDE methods 1000 are designed to provide a very flexible
and highly modular approach to secure processing. A complete
VDE process to service a "use event" may typically be constructed
as a combination of methods 1000. As one example, the typical

(0064091.01)

process for reading content or other information from an object 300
may involve the following methods:

an EVENT method

a METER method

a BILLING method

a BUDGET method.

Figure 45 is an example of a sequential series of methods
performed by VDE 100 in response to an event. In this example,
when an event occurs, an EVENT method 402 may "qualify" the
event to determine whether it is significant or not. Not all events
are significant. For example, if the EVENT method 1000 in a
control process dictates that usage is to be metered based upon
number of pages read, then user request "events" for reading less
than a page of information may be ignored. In another example, if
a system event represents a request to read a certain number of
bytes, and the EVENT method 1000 is part of a control process
designed to meter paragraphs, then the EVENT method may
evaluate the read request to determine how many paragraphs are
represented in the bytes requested. This process may involve
mapping to "atomic elements" to be discussed in more detail below.

EVENT method 402 filters out events that are not
significant with regard to the specific control method involved.
EVENT method 402 may pass on qualified events to a METER
process 1404, which meters or discards the event based on its own
particular criteria.

447

(0064091.01)

In addition, the preferred embodiment provides an
optimization called "precheck." EVENT method/process 402 may
perform this "precheck" based on metering, billing and budget
information to determine whether proc ssing based on an event
will be allowed. Suppose, for example, that the user has already
exceeded her budget with respect to accessing certain information
content so that no further access is permitted. Although BUDGET
method 408 could make this determination, records and processes
performed by BUDGET method 404 and/or BILLING method 406
might have to be "undone* to, for example, prevent the user from
being charged for an access that was actually denied. It may be
more efficient to perform a "precheck" within EVENT method 402
so that fewer transactions have to be "undone"

METER method 404 may store an audit record in a meter
"trail" UDE 1200, for example, and may also record information
related to the event in a meter UDE 1200. For example, METER
method 404 may increment or decrement a "meter* value within a
meter UDE 1200 each time content is accessed. The two different
data structures (meter UDE and meter trail UDE) may be
maintained to permit record keeping for reporting purposes to be
maintained separately from record keeping for internal operation
purposes, for example.

Once the event is metered by METER method 404, the
metered event may be processed by a BILLING method 406.
BILLING method 406 determines how much budget is consumed
by the event, and keeps records that are useful for reconciliation of
meters and budgets. Thus, for example, BILLING method 406

448

(0064091.01)

may read budget information from a budget UDE, record billing
information in a billing UDE, and write one or more audit records
in a billing trail UDE. While some billing trail information may
duplicate meter and/or budget trail information, the billing trail
information is useful, for example, to allow a content creator 102
to expect a payment of a certain size, and serve as a reconciliation
check to reconcile meter trail information sent to creator 102 with
budget trail information sent to, for example, an independent
budget provider.

BILLING method 406 may then pass the event on to a
BUDGET method 408. BUDGET method 408 sets limits and
records transactional information associated with those limits. For
example, BUDGET method 408 may store budget information in a
budget UDE, and may store an audit record in a budget trail UDE.
BUDGET method 408 may result in a "budget remaining" field in
a budget UDE being decremented by an amount specified by
BILLING method 406.

The information content may be released, or other action
taken, once the various methods 402, 404, 406, 408 have processed
the event.

As mentioned above, PERCs 808 in the preferred
embodiment may be provided with "control methods* that in effect
"oversee" performance of the other required methods in a control
process. Figure 46 shows how the required methods/processes 402,
404, 406, and 408 of Figure 45 can be organized and controlled by
a control method 410. Control method 410 may call, dispatch

449

(0064091.01)

events, or otherwise invoke the other methods 402, 404, 406, 408
and otherwise supervise the processing performed in response to
an "event."

Control methods operate at the level of control sets 906
within PERCs 808. They provide structure, logic, and flow of
control between disparate acquired methods 1000. This
mechanism permits the content provider to create any desired
chain of processing, and also allows the specific chain of processing
to be modified (within permitted limits) by downstream
redistributors. This control structure concept provides great
flexibility.

Figure 47 shows an example of an "aggregate" method 412
which collects METER method 404, BUDGET method 406 and
BILLING method 408 into an "aggregate" processing flow.
Aggregate method 412 may, for example, combine various
elements of metering, budgeting and billing into a single method
1000. Aggregate method 412 may provide increased efficiency as a
result of processing METER method 404, BUDGET method 406
and BILLING method 408 aggregately, but may decrease
flexibility because of decreased modularity.

Many different methods can be in effect simultaneously.
Figure 48 shows an example of preferred embodiment event
processing using multiple METER methods 404 and multiple
BUDGET methods 1408. Some events may be subject to many
different required methods operating independently or
cumulatively. For example, in the example shown in Figure 48,

450

(0064091.01)

meter method 404a may maintain meter trail and meter
information records that are independent from the meter trail and
meter information records maintained by METER method 404b.
Similarly, BUDGET method 408a may maintain records
independently of those records maintained by BUDGET method
408b. Some events may bypass BILLING method 408 while
nevertheless being processed by meter method 404a and BUDGET
method 408a. A variety of different variations are possible.

REPRESENTATIVE EXAMPLES OF VDE METHODS

Although methods 1000 can have virtually unlimited variety
and some may even be user-defined, certain basic "use* type
methods are preferably used in the preferred embodiment to
control most of the more fundamental object manipulation and
other functions provided by YDE 100. For example, the following
high level methods would typically be provided for object
manipulation:

OPEN method

READ method

WRITE method

CLOSE method.

An OPEN method is used to control opening a container so
its contents may be accessed. A READ method is used to control
the access to contents in a container. A WRITE method is used to
control the insertion of contents into a container. A CLOSE
method is used to close a container that has been opened.

(0064091.01)

Subsidiary methods are provided to perform some of the
steps required by the OPEN, READ, WRITE and/or CLOSE
methods. Such subsidiary methods may include the following:

ACCESS method

PANIC method

ERROR method

DECRYPT method

ENCRYPT method

DESTROY content method

INFORMATION method

OBSCURE method

FINGERPRINT method

EVENT method.

CONTENT method

EXTRACT method

EMBED method

METER method

BUDGET method

REGISTER method

BILLING method

AUDIT method

An ACCESS method may be used to physically access
content associated with an opened container (the content can be
anywhere). A PANIC method may be used to disable at least a
portion of the VDE node if a security violation is detected. An
ERROR method may be used to handle error conditions. A
DECRYPT method is used to decrypt encrypted information. An
ENCRYPT method is used to encrypt information. A DESTROY

452

(0064091.01)

content method is used to destroy the ability to access specific
content within a container. An INFORMATION method is used to
provide public information about the contents of a container. An
OBSCURE method is used to devalue content read from an opened
container (e.g., to write the word "SAMPLE" over a displayed
image). A FINGERPRINT method is used to mark content to
show who has released it from the secure container. An event
method is used to convert events into different events for response
by other methods.

Open

Figure 49 is a flowchart of an example of preferred
embodiment process control steps for an example of an OPEN
method 1500. Different OPEN methods provide different detailed
steps. However, the OPEN method shown in Figure 49 is a
representative example of a relatively full-featured "open" method
provided by the preferred embodiment. Figure 49 shows a
macroscopic view of the OPEN method. Figures 49a-49f are
together an example of detailed program controlled steps
performed to implement the method shown in Figure 49.

The OPEN method process starts with an "open event."
This open event may be generated by a user application, an
operating system intercept or various other mechanisms for
capturing or intercepting control. For example, a user application
may issue a request for access to a particular content stored
within the VDE container. As another example, another method
may issue a command.

453

(0064091.01)

In the example shown, the open event is processed by a
control method 1502. Control method 1502 may call other
methods to process the event. For example, control method 1502
may call an EVENT method 1504, a METER method 1506, a
BILLING method 1508, and a BUDGET method 1510. Not all
OPEN control methods necessarily call of these additional
methods, but the OPEN method 1500 shown in Figure 49 is a
representative example.

Control method 1502 passes a description of the open event
to EVENT method 1504. EVENT method 1504 may determine, for
example, whether the open event is permitted and whether the
open event is significant in the sense that it needs to be processed
by METER method 1506, BILLING method 1508, and/or BUDGET
method 1510. EVENT method 1504 may maintain audit trail
information within an audit trail UDE, and may determine
permissions and significance of the event by using an Event
Method Data Element (MDE). EVENT method 1504 may also
map the open event into an "atomic element" and count that may
be processed by METER method 1506, BILLING method 1508,
and/or BUDGET method 1510.

In OPEN method 1500, once EVENT method 1504 has been
called and returns successfully, control method 1502 then may call
METER method 1506 and pass the METER method, the atomic
element and count returned by EVENT method 1504. METER
method 1506 may maintain audit trail information in a METER
method Audit Trail UDE, and may also maintain meter
information in a METER method UDE. In the preferred

454

(0064091.01)

embodiment, METER method 1506 returns a meter value to
control method 1502 assuming successful completion.

In the preferred embodiment, control method 1502 upon
receiving an indication that METER method 1506 has completed
successfully, then calls BILLING method 1508. Control method
1502 may pass to BILLING method 1508 the meter value provided
by METER method 1506. BILLING method 1508 may read and
update billing information maintained in a BILLING method map
MDE, and may also maintain and update audit trail in a BILLING
method Audit Trail UDE. BILLING method 1508 may return a
billing amount and a completion code to control method 1502.

Assuming BILLING method 1508 completes successfully,
control method 1502 may pass the billing value provided by
BILLING method 1508 to BUDGET method 1510. BUDGET
method 1510 may read and update budget information within a
BUDGET method UDE, and may also maintain audit trail
information in a BUDGET method Audit Trail UDE. BUDGET
method 1510 may return a budget value to control method 1502,
and may also return a completion code indicating whether the
open event exceeds the user's budget (for this type of event).

Upon completion of BUDGET method 1510, control method
1502 may create a channel and establish read/use control
information in preparation for subsequent calls to the READ
method.

455

(0064091.01)

Figures 49a-49f are a more detailed description of the OPEN
method 1500 example shown in Figure 49. Referring to Figure
49a, in response to an open event, control method 1502 first may
determine the identification of the object to be opened and the
identification of the user that has requested the object to be
opened (block 1520). Control method 1502 then determines
whether the object to be opened is registered for this user (decision
block 1522). It makes this determination at least in part in the
preferred embodiment by reading the PERC 808 and the User
Rights Table (URT) element associated with the particular object
and particular user determined by block 1520 (block 1524). If the
user is not registered for this particular object Cno a exit to
decision block 1522), then control method 1502 may call the
REGISTER method for the object and restart the OPEN method
1500 once registration is complete (block 1526). The REGISTER
method block 1526 may be an independent process and may be
time independent. It may, for example, take a relatively long time
to complete the REGISTER method (say if the VDE distributor or
other participant responsible for providing registration wants to
perform a credit check on the user before registering the user for
this particular object).

Assuming the proper URT for this user and object is present
such that the object is registered for this user Cyes" exit to
decision block 1522), control method 1502 may determine whether
the object is already open for this user (decision block 1528). This
test may avoid creating a redundant channel for opening an object
that is already open. Assuming the object is not already open
(W exit to decision block 1528), control method 1502 creates a

456

(0064091.01)

channel and binds appropriate open control elements to it (block
1530). It reads the appropriate open control elements from the
secure database (or the container, such as, for example, in the case
of a travelling object), and "binds" or "links" these particular
appropriate control elements together in order to control opening
of the object for this user. Thus, block 1530 associates an event
with one or more appropriate method core(s), appropriate load
modules, appropriate User Data Elements, and appropriate
Method Data Elements read from the secure database (or the
container) (block 1532). At this point, control method 1502
specifies the open event (which started the OPEN method to begin
with), the object ID and user ID (determined by block 1520), and
the channel ID of the channel created by block 1530 to subsequent
EVENT method 1504, METER method 1506, BILLING method
1508 and BUDGET method 1510 to provide a secure database
"transaction" (block 1536). Before doing so, control method 1502
may prime an audit process (block 1533) and write audit
information into an audit UDE (block 1534) so a record of the
transaction exists even if the transaction fails or is interfered with.

The detail steps performed by EVENT method 1504 are set
forth on Figure 49b. EVENT method 1504 may first prime an
event audit trail if required (block 1538) which may write to an
EVENT Method Audit Trail UDE (block 1540). EVENT method
1504 may then perform the step of mapping the open event to an
atomic element number and event count using a map MDE (block
1542). The EVENT method map MDE may be read from the
secure database (block 1544). This mapping process performed by
block 1542 may, for example, determine whether or not the open

457

(0064091.01)

event is meterable, billable, or budgetable, and may transform the
open event into some discrete atomic element for metering, billing
and/or budgeting. As one example, block 1542 might perform a
one-to-one mapping between open events and "open" atomic
elements, or it may only provide an open atomic element for every
fifth time that the object is opened. The map block 1542
preferably returns the open event, the event count, the atomic
element number, the object ID, and the user ID. This information
may be written to the EVENT method Audit Trail UDE (block
1546, 1548). In the preferred embodiment, a test (decision block
1550) is then performed to determine whether the EVENT method
failed. Specifically, decision block 1550 may determine whether an
atomic element number was generated. If no atomic element
number was generated (e.g., meaning that the open event is not
significant for processing by METER method 1506, BILLING
method 1508 and/or BUDGET method 1510), then EVENT method
1504 may return a "fail" completion code to control method 1502
("no" exit to decision block 1550).

Control method 1502 tests the completion code returned by
EVENT method 1504 to determine whether it failed or was
successful (decision block 1552). If the EVENT method failed ("no"
exit to decision block 1552), control method 1502 may "roll back"
the secure database transaction (block 1554) and return itself with
an indication that the OPEN method failed (block 1556). In this
context, "rolling back" the secure database transaction means, for
example, "undoing" the changes made to audit trail UDE by blocks
1540, 1548. However, this "roll back" performed by block 1554 in

458

(0064091.01)

the preferred embodiment does not n undo a the changes made to
the control method audit UDE by blocks 1532, 1534.

Assuming the EVENT method 1504 completed successfully,
control method 1502 then calls the METER method 1506 shown on
Figure 49c. In the preferred embodiment, METER method 1506
primes the meter audit trail if required (block 1558), which
typically involves writing to a METER method audit trail UDE
(block 1560). METER method 1506 may then read a METER
method UDE from the secure database (block 1562), modify the
meter UDE by adding an appropriate event count to the meter
value contained in the meter UDE (block 1564), and then writing
the modified meter UDE back to the secure database (block 1562).
In other words, block 1564 may read the meter UDE, increment
the meter count it contains, and write the changed meter UDE
back to the secure database. In the preferred embodiment,
METER method 1506 may then write meter audit trail
information to the METER method audit trail UDE if required
(blocks 1566, 1568). METER method 1506 preferably next
performs a test to determine whether the meter increment
succeeded (decision block 1570). METER method 1506 returns to
control method 1502 with a completion code (e.g., succeed or fail)
and a meter value determined by block 1564.

Control method 1502 tests whether the METER method
succeeded by examining the completion code, for example (decision
block 1572). If the METER method failed Cno* exit to decision
block 1572), then control method 1502 "rolls back* a secure
database transaction (block 1574), and returns with an indication

459

(0064091.01)

that the OPEN method failed (block 1576). Assuming the METER
method succeeded ("yes" exit to decision block 1572), control
method 1502 calls the BILLING method 1508 and passes it the
meter value provided by METER method 1506.

An example of steps performed by BILLING method 1508 is
set forth in Figure 49d. BILLING method 1508 may prime a
billing audit trail if required (block 1578) by writing to a BILLING
method Audit Trail UDE within the secure database (block 1580).
BILLING method 1508 may then map the atomic element number,
count and meter value to a billing amount using a BILLING
method map MDE read from the secure database (blocks 1582,
1584). Providing an independent BILLING method map MDE
containing, for example, price list information, allows separately
deliverable pricing for the billing process. The resulting billing
amount generated by block 1582 may be written to the BILLING
method Audit Trail UDE (blocks 1586, 1588), and may also be
returned to control method 1502. In addition, BILLING method
1508 may determine whether a billing amount was properly
selected by block 1582 (decision block 1590). In this example, the
test performed by block 1590 generally requires more than mere
examination of the returned billing amount, since the billing
amount may be changed in unpredictable ways as specified by
BILLING method map MDE. Control then returns to control
method 1502, which tests the completion code provided by
BILLING method 1508 to determine whether the BILLING
method succeeded or failed (block 1592). If the BILLING method
failed ("no" exit to decision block 1592), control method 1502 may
"roll back" the secure database transaction (block 1594), and

460

(0064091.01)

return an indication that the OPEN method failed (block 1596).
Assuming the test performed by decision block 1592 indicates that
the BILLING method succeeded Cyes a exit to decision block 1592),
then control method 1502 may call BUDGET method 1510.

Other BILLING methods may use site, user and/or usage
information to establish, for example, pricing information. For
example, information concerning the presence or absence of an
object may be used in establishing "suite" purchases, competitive
discounts, etc. Usage levels may be factored into a BILLING
method to establish price breaks for different levels of usage. A
currency translation feature of a BILLING method may allow
purchases and/or pricing in many different currencies. Many other
possibilities exist for determining an amount of budget consumed
by an event that may be incorporated into BILLING methods.

An example of detailed control steps performed by BUDGET
method 1510 is set forth in Figure 49e. BUDGET method 1510
may prime a budget audit trail if required by writing to a budget
trail UDE (blocks 1598, 1600). BUDGET method 1510 may next
perform a billing operation by adding a billing amount to a budget
value (block 1602). This operation may be performed, for example,
by reading a BUDGET method UDE from the secure database,
modifying it, and writing it back to the secure database (block
1604). BUDGET method 1510 may then write the budget audit
trail information to the BUDGET method Audit Trail UDE (blocks
1606, 1608). BUDGET method 1510 may finally, in this example,
determine whether the user has run out of budget by determining
whether the budget value calculated by block 1602 is out of range

461

(0064091.01)

(decision block 1610). If the user has run out of budget ("yes" exit
to decision block 1610), the BUDGET method 1510 may return a
"fail completion" code to control method 1502. BUDGET method
1510 then returns to control method 1502, which tests whether the
BUDGET method completion code was successful (decision block
1612). If the BUDGET method failed ("no" exit to decision block
1612), control method 1502 may "roll back" the secure database
transaction and itself return with an indication that the OPEN
method failed (blocks 1614, 1616). Assuming control method 1502
determines that the BUDGET method was successful, the control
method may perform the additional steps shown on Figure 49f.
For example, control method 1502 may write an open audit trail if
required by writing audit information to the audit UDE that was
primed at block 1532 (blocks 1618, 1620). Control method 1502
may then establish a read event processing (block 1622), using the
User Right Table and the PERC associated with the object and
user to establish the channel (block 1624). This channel may
optionally be shared between users of the VDE node 600, or may
be used only by a specified user.

Control method 1502 then, in the preferred embodiment,
tests whether the read channel was established successfully
(decision block 1626). If the read channel was not successfully
established ("no" exit to decision block 1626), control method 1502
"rolls back" the secured database transaction and provides an
indication that the OPEN method failed (blocks 1628, 1630).
Assuming the read channel was successfully established ("yes" exit
to decision block 1626), control method 1502 may "commit" the
secure database transaction (block 1632). This step of

462

(0064091.01)

"committing" the secure database transaction in the preferred
embodiment involves, for example, deleting intermediate values
associated with the secure transaction that has just been
performed and, in one example, writing changed UDEs and MDEs
to the secure database. It is generally not possible to "roll back" a
secure transaction once it has been committed by block 1632.
Then, control method 1502 may "tear down" the channel for open
processing (block 1634) before terminating (block 1636). In some
arrangements, such as multi-tasking VDE node environments, the
open channel may be constantly maintained and available for use
by any OPEN method that starts. In other implementations, the
channel for open processing may be rebuilt and restarted each
time an OPEN method starts.

Read

Figure 50, 50a-50f show examples of process control steps for
performing a representative example of a READ method 1650.
Comparing Figure 50 with Figure 49 reveals that the same overall
high level processing may typically be performed for READ
method 1650 as was described in connection with OPEN method
1500. Thus, READ method 1650 may call a control method 1652
in response to a read event, the control method in turn invoking
an EVENT method 1654, a METER method 1656, a BILLING
method 1658 and a BUDGET method 1660. In the preferred
embodiment, READ control method 1652 may request methods to
fingerprint and/or obscure content before releasing the decrypted
content.

463

(0064091.01)

Figures 50a-50e are similar to Figures 49a-49e. Of course,
even though the same user data elements may be used for both
the OPEN method 1500 and the READ method 1650, the method
data elements for the READ method may be completely different,
and in addition, the user data elements may provide different
auditing, metering, billing and/or budgeting criteria for read as
opposed to open processing.

Referring to Figure 50f, the READ control method 1652
must determine which key to use to decrypt content if it is going
to release decrypted content to the user (block 1758). READ
control method 1652 may make this key determination based, in
part, upon the PERC 808 for the object (block 1760). READ
control method 1652 may then call an ACCESS method to actually
obtain the encrypted content to be decrypted (block 1762). The
content is then decrypted using the key determined by block 1758
(block 1764). READ control method 1652 may then determine
whether a "fingerprint* is desired (decision block 1766). If
fingerprinting of the content is desired Cyes" exit of decision block
1766), READ control method 1652 may call the FINGERPRINT
method (block 1768). Otherwise, READ control method 1652 may
determine whether it is desired to obscure the decrypted content
(decision block 1770). If so, READ control method 1652 may call
an OBSCURE method to perform this function (block 1772).
Finally, READ control method 1652 may commit the secure
database transaction (block 1774), optionally tear down the read
channel (not shown), and terminate (block 1776).

(0064091.01)

Write

Figures 51, 51a-51f are flowcharts of examples of process
control steps used to perform a representative example of a
WRITE method 1780 in the preferred embodiment. WRITE
method 1780 uses a control method 1782 to call an EVENT
method 1784, METER method 1786, BILLING method 1788, and
BUDGET method 1790 in this example. Thus, writing information
into a container (either by overwriting information already stored
in the container or adding new information to the container) in the
preferred embodiment may be metered, billed and/or budgeted in a
manner similar to the way opening a container and reading from a
container can be metered, billed and budgeted. As shown in
Figure 51, the end result of WRITE method 1780 is typically to
encrypt content, update the container table of contents and related
information to reflect the new content, and write the content to the
object.

Figure 51a for the WRITE control method 1782 is similar to
Figure 49a and Figure 50a for the OPEN control method and the
READ control method, respectively. However, Figure 51b is
slightly different from its open and read counterparts. In
particular, block 1820 is performed if the WRITE EVENT method
1784 fails. This block 1820 updates the EVENT method map
MDE to reflect new data. This is necessary to allow information
written by block 1810 to be read by Figure 51b READ method
block 1678 based on the same (but now updated) EVENT method
map MDE.

465

(0064091.01)

Looking at Figure 51f, once the EVENT, METER, BILLING
and BUDGET methods have returned successfully to WRITE
control method 1782, the WRITE control method writes audit
infc, .nation to Audit UDE (blocks 1890, 1892), and then
determines (based on the PERC for the object and user and an
optional algorithm) which key should be used to encrypt the
content before it is written to the container (blocks 1894, 1896).
CONTROL method 1782 then encrypts the content (block 1898)
possibly by calling an ENCRYPT method, and writes the encrypted
content to the object (block 1900). CONTROL method 1782 may
then update the table of contents (and related information) for the
container to reflect the newly written information (block 1902),
commit the secure database transaction (block 1904), and return
(block 1906).

Close

Figure 52 is a flowchart of an example of process control
steps to perform a representative example of a CLOSE method
1920 in the preferred embodiment. CLOSE method 1920 is used
to close an open object. In the preferred embodiment, CLOSE
method 1920 primes an audit trail and writes audit information to
an Audit UDE (blocks 1922, 1924). CLOSE method 1920 then
may destroy the current channel(s) being used to support and/or
process one or more open objects (block 1926). As discussed above,
in some (e.g., multi-user or multi-tasking) installations, the step of
destroying a channel is not needed because the channel may be
left operating for processing additional objects for the same or
different users. CLOSE method 1920 also releases appropriate
records and resources associated with the object at this time (block

466

(0064091.01)

1926). The CLOSE method 1920 may then write an audit trail (if
required) into an Audit UDE (blocks 1928, 1930) before
completing.

Event

Figure 53a is a flowchart of example process control steps
provided by a more general example of an EVENT method 1940
provided by the preferred embodiment. Examples of EVENT
methods are set forth in Figures 49b, 50b and 51b and are
described above. EVENT method 1940 shown in Figure 53a is
somewhat more generalized than the examples above. Like the
EVENT method examples above, EVENT method 1940 receives an
identification of the event along with an event count and event
parameters. EVENT method 1940 may first prime an EVENT
audit trail (if required) by writing appropriate information to an
EVENT method Audit Trail UDE (blocks 1942, 1944). EVENT
method 1940 may then obtain and load an EVENT method map
DTD from the secure database (blocks 1946, 1948). This EVENT
method map DTD describes, in this example, the format of the
EVENT method map MDE to be read and accessed immediately
subsequently (by blocks 1950, 1952). In the preferred
embodiment, MDEs and UDEs may have any of various different
formats, and their formats may be flexibly specified or changed
dynamically depending upon the installation, user, etc. The DTD,
in effect, describes to the EVENT method 1940 how to read from
the EVENT method map MDE. DTDs are also used to specify how
methods should write to MDEs and UDEs, and thus may be used
to implement privacy filters by, for example, preventing certain

(0064091.01)

confidential user information from being written to data structures
that will be reported to third parties.

Block 19: 0 ("map event to atomic element # and event count
using a Map MDE") is in some sense the "heart" of EVENT
method 1940. This step "maps" the event into an "atomic element
number" to be responded to by subsequently called methods. An
example of process control steps performed by a somewhat
representative example of this "mapping" step 1950 is shown in
Figure 53b.

The Figure 53b example shows the process of converting a
READ event that is associated with requesting byte range 1001-
1500 from a specific piece of content into an appropriate atomic
element. The example EVENT method mapping process (block
1950 in Figure 53a) can be detailed as the representative process
shown in Figure 53b.

EVENT method mapping process 1950 may first look up the
event code (READ) in the EVENT method MDE (1952) using the
EVENT method map DTD (1948) to determine the structure and
contents of the MDE. A test might then be performed to
determine if the event code was found in the MDE (1956), and if
not ("No" branch), the EVENT method mapping process may the
terminate (1958) without mapping the event to an atomic element
number and count. If the event was found in the MDE ("Yes"
branch), the EVENT method mapping process may then compare
the event range (e.g., bytes 1001-1500) against the atomic element
to event range mapping table stored in the MDE (block 1960). The

468

(0064091.01)

comparison might yield one or more atomic element numbers or
the event range might not be found in the mapping table. The
result of the comparison might then be tested (block 1962) to
determine if any atomic element numbers were found in the table.
If not ("No" branch), the EVENT method mapping process may
terminate without selecting any atomic element numbers or counts
(1964). If the atomic element numbers were found, the process
might then calculate the atomic element count from the event
range (1966). In this example, the process might calculate the
number of bytes requested by subtracting the upper byte range
from the lower byte range (e.g., 1500 - 1001 + 1 = 500). The
example EVENT method mapping process might then terminate
(block 1968) and return the atomic element numbers) and counts.

EVENT method 1940 may then write an EVENT audit trail
if required to an EVENT method Audit Trail UDE (block 1970,
1972). EVENT method 1940 may then prepare to pass the atomic
element number and event count to the calling CONTROL method
(or other control process) (at exit point 1978). Before that,
however, EVENT method 1940 may test whether an atomic
element was selected (decision block 1974). If no atomic element
was selected, then the EVENT method may be failed (block 1974).
This may occur for a number of reasons. For example, the EVENT
method may fail to map an event into an atomic element if the
user is not authorized to access the specific areas of content that
the EVENT method MDE does not describe. This mechanism
could be used, for example, to distribute customized versions of a
piece of content and control access to the various versions in the
content object by altering the EVENT method MDE delivered to

469

(0064091.01)

the user. A specific use of this technology might be to control the
distribution of different language (e.g., English, French, Spanish)
versions of a piece of content.

Billing

Figure 53c is a flowchart of an example of process control
steps performed by a BILLING method 1980. Examples of
BILLING methods are set forth in Figures 49d, 50d, and 51d and
are described above. BILLING method 1980 shown in Figure 53c
is somewhat more generalized than the examples above. Like the
BILLING method examples above, BILLING method 1980 receives
a meter value to determine the amount to bill. BILLING method
1980 may first prime a BILLING audit trail (if required) by
writing appropriate information to the BILLING method Audit
Trail UDE (blocks 1982, 1984). BILLING method 1980 may then
obtain and load a BILLING method map DTD from the secure
database (blocks 1985, 1986), which describes the BILLING
method map MDE (e.g., a price list, table, or parameters to the
billing amount calculation algorithm) that should be used by this
BILLING method. The BILLING method map MDE may be
delivered either as part of the content object or as a separately
deliverable component that is combined with the control
information at registration.

The BILLING method map MDE in this example may
describe the pricing algorithm that should be used in this
BILLING method (e.g., bill $0,001 per byte of content released).
Block 1988 ("Map meter value to billing amount 0 ) functions in the
same manner as block 1950 of the EVENT method; it maps the

(0064091.01)

meter value to a billing value. Process step 1988 may also
interrogate the secure database (as limited by the privacy filter) to
determine if other objects or information (e.g., user information)
are present as part of the BILLING method algorithm.

BILLING method 1980 may then write a BILLING audit
trail if required to a BILLING method Audit Trail UDE (block
1990, 1992), and may prepare to return the billing amount to the
calling CONTROL method (or other control process). Before that,
however, BILLING method 1980 may test whether a billing
amount was determined (decision block 1994). If no billing
amount was determined, then the BILLING method may be failed
(block 1996). This may occur if the user is not authorized to access
the specific areas of the pricing table that the BILLING method
MDE describes (e.g., you may purchase not more than $100.00 of
information from this content object).

Access

Figure 54 is a flowchart of an example of program control
steps performed by an ACCESS method 2000. As described above,
an ACCESS method may be used to access content embedded in
an object 300 so it can be written to, read from, or otherwise
manipulated or processed. In many cases, the ACCESS method
may be relatively trivial since the object may, for example, be
stored in a local storage that is easily accessible. However, in the
general case, an ACCESS method 2000 must go through a more
complicated procedure in order to obtain the object. For example,
some objects (or parts of objects) may only be available at remote
sites or may be provided in the form of a real-time download or

471

(0064091.01)

feed (e.g., in the case of broadcast transmissions). Even if the
object is stored locally to the VDE node, it may be stored as a
secure or protected object so that it is not directly accessible to a
calling process. ACCESS method 200 A establishes the
connections, routings, and security requisites needed to access the
object. These steps may be performed transparently to the calling
process so that the calling process only needs to issue an access
request and the particular ACCESS method corresponding to the
object or class of objects handles all of the details and logistics
involved in actually accessing the object.

ACCESS method 2000 may first prime an ACCESS audit
trail (if required) by writing to an ACCESS Audit Trail UDE
(blocks 2002, 2004). ACCESS method 2000 may then read and
load an ACCESS method DTD in order to determine the format of
an ACCESS MDE (blocks 2006, 2008). The ACCESS method MDE
specifies the source and routing information for the particular
object to be accessed in the preferred embodiment. Using the
ACCESS method DTD, ACCESS method 2000 may load the
correction parameters (e.g., by telephone number, account ID,
password and/or a request script in the remote resource dependent
language).

ACCESS method 2000 reads the ACCESS method MDE
from the secure database, reads it in accordance with the ACCESS
method DTD, and loads encrypted content source and routing
information based on the MDE (blocks 2010, 2012). This source
and routing information specifies the location of the encrypted
content. ACCESS method 2000 then determines whether a

(0064091.01)

connection to the content is available (decision block 2014). This
"connection" could be, for example, an on-line connection to a
remote site, a real-time information feed, or a path to a
secure/protected resource, for example. If the connection to the
content is not currently available ("No" exit of decision block 2014),
then ACCESS method 2000 takes steps to open the connection
(block 2016). If the connection fails (e.g., because the user is not
authorized to access a protected secure resource), then the
ACCESS method 2000 returns with a failure indication
(termination point 2018). If the open connection succeeds, on the
other hand, then ACCESS method 2000 obtains the encrypted
content (block 2020). ACCESS method 2000 then writes an
ACCESS audit trail if required to the secure database ACCESS
method Audit Trail UDE (blocks 2022, 2024), and then terminates
(terminate point 2026).

Decrypt and Encrypt

Figure 55a is a flowchart of an example of process control
steps performed by a representative example of a DECRYPT
method 2030 provided by the preferred embodiment. DECRYPT
method 2030 in the preferred embodiment obtains or derives a
decryption key from an appropriate PERC 808, and uses it to
decrypt a block of encrypted content. DECRYPT method 2030 is
passed a block of encrypted content or a pointer to where the
encrypted block is stored. DECRYPT 2030 selects a key number
from a key block (block 2032). For security purposes, a content
object may be encrypted with, more than one key. For example, a
movie may have the first 10 minutes encrypted using a first key,
the second 10 minutes encrypted with a second key, and so on.

(0064091.01)

These keys are stored in a PERC 808 in a structure called a "key
block." The selection process involves determining the correct key
to use from the key block in order to decrypt the content. The
process for this selection is similar to the process used by EVENT
methods to map events into atomic element numbers. DECRYPT
method 2030 may then access an appropriate PERC 808 from the
secure database 610 and loads a key (or "seed") from a PERC
(blocks 2034, 2036). This key information may be the actual
decryption key to be used to decrypt the content, or it may be
information from which the decryption key may be at least in part
derived or calculated. If necessary, DECRYPT method 2030
computes the decryption key based on the information read from
PERC 808 at block 2034 (block 2038). DECRYPT method 2030
then uses the obtained and/or calculated decryption key to actually
decrypt the block of encrypted information Oalock 2040).
DECRYPT method 2030 outputs the decrypted block (or the
pointer indicating where it may be found), and terminates
(termination point 2042).

Figure 55b is a flowchart of an example of process control
steps performed by a representative example of an ENCRYPT
method 2050. ENCRYPT method 2050 is passed as an input, a
block of information to encrypt (or a pointer indicating where it
may be found). ENCRYPT method 2050 then may determine an
encryption key to use from a key block (block 2052). The
encryption key selection makes a determination if a key for a
specific block of content to be written already exists in a key block
stored in PERC 808. If the key already exists in the key block,
then the appropriate key number is selected. If no such key exists

(0064091.01)

example, contain prestored abstracts, indexes, tables of contents,
etc., provided expressly for the purpose of being extracted by the
CONTENT method 2070. If the object contains such static values
("static" exit to decision block 2072), then CONTENT method 2070
may simply read this static value content information from the
object (block 2074), optionally decrypt, and release this content
description (block 2076). If, on the other hand, CONTENT method
2070 must derive the synopsis/content description from the secure
object ("derived" exit to decision block 2072), then the CONTENT
method may then securely read information from the container
according to a synopsis algorithm to produce the synopsis (block
2078).

Extract and Embed

Figure 57a is a flowchart of an example of process control
steps performed by a representative example of an EXTRACT
method 2080 provided by the preferred embodiment. EXTRACT
method 2080 is used to copy or remove content from an object and
place it into a new object. In the preferred embodiment, the
EXTRACT method 2080 does not involve any release of content,
but rather simply takes content from one container and places it
into another container, both of which may be secure. Extraction of
content differs from release in that the content is never exposed
outside a secure container. Extraction and Embedding are
complementary functions; extract takes content from a container
and creates a new container containing the extracted content and
any specified control information associated with that content.
Embedding takes content that is already in a container and stores
it (or the complete object) in another container directly and/or by

476

(0064091.01)

in the key block, a new key is calculated using an algorithm
appropriate to the enciyption algorithm. This key is then stored
in the key block of PERC 808 so that DECRYPT method 2030 may
access the key in order to decrypt the content stored in the content
object. ENCRYPT method 2050 then accesses the appropriate
PERC to obtain, derive and/or compute an encryption key to be
used to encrypt the information block (blocks 2054, 2056, 2058,
which are similar to Figure 55a blocks 2034, 2036, 2038).
ENCRYPT method 2050 then actually encrypts the information
block using the obtained and/or derived encryption key (block
2060) and outputs the encrypted information block or a pointer
where it can be found before terminating (termination point 2062).

Figure 56 is a flowchart of an example of process control
steps performed by a representative of a CONTENT method 2070
provided by the preferred embodiment. CONTENT method 2070
in the preferred embodiment builds a "synopsis* of protected
content using a secure process. For example, CONTENT method
2070 may be used to derive unsecure ("public") information from
secure content. Such derived public information might include, for
example, an abstract, an index, a table of contents, a directory of
files, a schedule when content may be available, or excerpts such
as for example, a movie "trailer. 0

CONTENT method 2070 begins by determining whether the
derived content to be provided must be derived from secure
contents, or whether it is already available in the object in the
form of static values (decision block 2070). Some objects may, for

Content

475

(0064091.01)

reference, integrating the control information associated with
existing content with those of the new content.

EXTRACT method 2080 begins by priming an Audit UDE
(blocks 2082, 2084). EXTRACT method then calls a BUDGET
method to make sure that the user has enough budget for (and is
authorized to) extract content from the original object (block 2086).
If the user's budget does not permit the extraction ("no" exit to
decision block 2088), then EXTRACT method 2080 may write a
failure audit record (block 2090), and terminate (termination point
2092). If the user's budget permits the extraction ("yes" exit to
decision block 2088), then the EXTRACT method 2080 creates a
copy of the extracted object with specified rules and control
information (block 2094). In the preferred embodiment, this step
involves calling a method that actually controls the copy. This
step may or may not involve decryption and encryption, depending
on the particular the PERC 808 associated with the original object,
for example. EXTRACT method 2080 then checks whether any
control changes are permitted by the rights authorizing the extract
to begin with (decision block 2096). In some cases, the extract
rights require an exact copy of the PERC 808 associated with the
original object (or a PERC included for this purpose) to be placed
in the new (destination) container ("no" exit to decision block
2096). If no control changes are permitted, then extract method
2080 may simply write audit information to the Audit UDE (blocks
2098, 2100) before terminating (terminate point 2102). If, on the
other hand, the extract rights permit the user to make control
changes ("yes" to decision block 2096), then EXTRACT method
2080 may call a method or load module that solicits new or

477

(0064091.01)

changed control information (e.g., from the user, the distributor
who created/granted extract rights, or from some other source)
from the user (blocks 2104, 2106). EXTRACT method 2080 may
then call a method or load module to create a new PERC that
reflects these user-specified control information (block 2104). This
new PERC is then placed in the new (destination) object, the
auditing steps are performed, and the process terminates.

Figure 57b is an example of process control steps performed
by a representative example of an EMBED method 2110 provided
by the preferred embodiment. EMBED method 2110 is similar to
EXTRACT method 2080 shown in Figure 57a. However, the
EMBED method 2110 performs a slightly different function— it
writes an object (or reference) into a destination container. Blocks
2112-2122 shown in Figure 57b are similar to blocks 2082-2092
shown in Figure 57a. At block 2124, EMBED method 2110 writes
the source object into the destination container, and may at the
same time extract or change the control information of the
destination container. One alternative is to simply leave the
control information of the destination container alone, and include
the full set of control information associated with the object being
embedded in addition to the original container control information.
As an optimization, however, the preferred embodiment provides a
technique whereby the control information associated with the
object being embedded are "abstracted" and incorporated into the
control information of the destination container. Block 2124 may
call a method to abstract or change this control information.
EMBED method 2110 then performs steps 2126-2130 which are
similar to steps 2096, 2104, 2106 shown in Figure 57a to allow the

(0064091.01)

•

user, if authorized, to change and/or specify control information
associated with the embedded object and/or destination container.
EMBED method 2110 then writes audit information into an Audit
UDE (blocks 2132, 2134), before terminating (at termination point
2136).

Obscure

Figure 58a is a flowchart of an example of process control
steps performed by a representative example of an OBSCURE
method 2140 provided by the preferred embodiment. OBSCURE
method 2140 is typically used to release secure content in
devalued form. For example, OBSCURE method 2140 may release
a high resolution image in a lower resolution so that a viewer can
appreciate the image but not enjoy its full value. As another
example, the OBSCURE method 2140 may place an obscuring
legend (e.g., "COPY,* "PROOF," etc.) across an image to devalue it.
OBSCURE method 2140 may "obscure" text, images, audio
information, or any other type of content.

OBSCURE method 2140 first calls an EVENT method to
determine if the content is appropriate and in the range to be
obscured (block 2142). If the content is not appropriate for
obscuring, the OBSCURE method terminates (decision block 2144
"no" exit, terminate point 2146). Assuming that the content is to
be obscured ("yes" exit to decision block 2144), then OBSCURE
method 2140 determines whether it has previously been called to
obscure this content (decision block 2148). Assuming the
OBSCURE 2140 has not previously called for this object/content
("yes" exit to decision block 2148), the OBSCURE method 2140

(0064091.01)

reads an appropriate OBSCURE method MDE from the secure
database and loads an obscure formula and/or pattern from the
MDE (blocks 2150, 2152). The OBSCURE method 2140 may then
apply the appropriate obscure transform based on the patters
and/or formulas loaded by block 2150 (block 2154). The
OBSCURE method then may terminate (terminate block 2156).

Fingerprint

Figure 58b is a flowchart of an example of process control
steps performed by a representative example of a FINGERPRINT
method 2160 provided by the preferred embodiment.
FINGERPRINT method 2160 in the preferred embodiment
operates to "mark" released content with a "fingerprint"
identification of who released the content and/or check for such
marks. This allows one to later determine who released unsecured
content by examining the content. FINGERPRINT method 2160
may, for example, insert a user ID within a datastream
representing audio, video, or binary format information.
FINGERPRINT method 2160 is quite similar to OBSCURE
method 2140 shown in Figure 58a except that the transform
applied by FINGERPRINT method block 2174 "fingerprints" the
released content rather than obscuring it.

Figure 58c shows an example of a "fingerprinting" procedure
2160 that inserts into released content "fingerprints" 2161 that
identify the object and/or property and/or the user that requested
the released content and/or the date and time of the release and/or
other identification criteria of the released content.

480

(0064091.01)

Such fingerprints 2161 can be "buried" - that is inserted in
a manner that hides the fingerprints from typical users,
sophisticated "hackers," and/or from all users, depending on the
file format, the sophistication and/or variety of the insertion
algorithms, and on the availability of original, non-fingerprinted
content (for comparison for reverse engineering of algorithm(s)).
Inserted or embedded fingerprints 2161, in a preferred
embodiment, may be at least in part encrypted to make them more
secure. Such encrypted fingerprints 2161 may be embedded
within released content provided in "clear" (plaintext) form.

Fingerprints 2161 can be used for a variety of purposes
including, for example, the often related purposes of proving
misuse of released materials and proving the source of released
content. Software piracy is a- particularly good example where
fingerprinting can be very useful. Fingerprinting can also help to
enforce content providers' rights for most types of electronically
delivered information including movies, audio recordings,
multimedia, information databases, and traditional "literary"
materials. Fingerprinting is a desirable alternative or addition to
copy protection.

Most piracy of software applications, for example, occurs not
with the making of an illicit copy by an individual for use on
another of the individual's own computers, but rather in giving a
copy to another party. This often starts a chain (or more
accurately a pyramid) of illegal copies, as copies are handed from
individual to individual. The fear of identification resulting from
the embedding of a fingerprint 2161 will likely dissuade most

481

(0064091.01)

individuals from participating, as many currently do, in
widespread, "casual" piracy. In some cases, content may be
checked for the presence of a fingerprint by a fingerprint method
to help enforce content providers' rights.

Different fingerprints 2161 can have different levels of
security (e.g., one fingerprint 2161(1) could be readable/Identifiable
by commercial concerns, while another fingerprint 2161(2) could be
readable only by a more trusted agency. The methods for
generating the more secure fingerprint 2161 might employ more
complex encryption techniques (e.g., digital signatures) and/or
obscuring of location methodologies. Two or more fingerprints
2161 can be embedded in different locations and/or using different
techniques to help protect fingerprinted information against
hackers. The more secure fingerprints might only be employed
periodically rather than each time content release occurs, if the
technique used to provide a more secure fingerprint involves an
undesired amount of additional overhead. This may nevertheless
be effective since a principal objective of fingerprinting is
deterrence — that is the fear on the part of the creator of an illicit
copy that the copying will be found out.

For example, one might embed a copy of a fingerprint 2161
which might be readily identified by an authorized party-for
example a distributor, service personal, client administrator, or
clearinghouse using a VDE electronic appliance 600. One might
embed one or more additional copies or variants of a fingerprint
2161 (e.g., fingerprints carrying information describing some or all

482

(0064091.01)

relevant identifying information) and this additional one or more
fingerprints 2161 might be maintained in a more secure manner.

Fingerprinting can also protect privacy concerns. For
example, the algorithm and/or mechanisms needed to identify the
fingerprint 2161 might be available only through a particularly
trusted agent.

Fingerprinting 2161 can take many forms. For example, in
an image, the color of every N pixels (spread across an image, or
spread across a subset of the image) might be subtly shifted in a
visually unnoticeable manner (at least according to the normal,
unaided observer). These shifts could be interpreted by analysis of
the image (with or without access to the original image), with each
occurrence or lack of occurrence of a shift in color (or grayscale)
being one or more binary "on or off 1 bits for digital information
storage. The N pixels might be either consistent, or alternatively,
pseudo-random in order (but interpre table, at least in part, by a
object creator, object provider, client administrator, and/or VDE
administrator).

Other modifications of an image (or moving image, audio,
etc.) which provide a similar benefit (that is, storing information
in a form that is not normally noticeable as a result of a certain
modification of the source information) may be appropriate,
depending on the application. For example, certain subtle
modifications in the frequency of stored audio information can be
modified so as to be normally unnoticeable to the listener while
still being readable with the proper tools. Certain properties of

483

(0064091.01)

the storage of information might be modified to provide such slight
but interpretable variations in polarity of certain information
which is optically stored to achieve similar results. Other
variations employing other electronic, magnetic, and/or optical
characteristic may be employed.

Content stored in files that employ graphical formats, such
as Microsoft Windows word processing files, provide significant
opportunities for "burying" a fingerprint 2161. Content that
includes images and/or audio provides the opportunity to embed
fingerprints 2161 that may be difficult for unauthorized
individuals to identify since, in the absence of an "unfingerprinted"
original for purposes of comparison, minor subtle variations at one
or more time instances in audio frequencies, or in one or more
video images, or the like, will be in themselves undiscernible given
the normally unknown nature of the original and the large
amounts of data employed in both image and sound data (and
which is not particularly sensitive to minor variations). With
formatted text documents, particularly those created with
graphical word processors (such as Microsoft Windows or Apple
Macintosh word processors and their DOS and Unix equivalents),
fingerprints 2161 can normally be inserted unobtrusively into
portions of the document data representation that are not
normally visible to the end user (such as in a header or other
non-displayed data field).

Yet another form of fingerprinting, which may be
particularly suitable for certain textual documents, would employ
and control the formation of characters for a given font.

484

(0064091.01)

Individual characters may have a slightly different visual
formation which connotes certain "fingerprint" information. This
alteration of a given character's form would be generally
undiscernible, in part because so many slight variations exist in
versions of the same font available from different suppliers, and in
part because of the smallness of the variation. For example, in a
preferred embodiment, a program such as Adobe Type Align could
be used which, in its off-the-shelf versions, supports the ability of a
user to modify font characters in a variety of ways. The
mathematical definition of the font character is modified according
to the user's instructions to produce a specific set of modifications
to be applied to a character or font. Information content could be
used in an analogous manner (as an alternative to user selections)
to modify certain or all characters too subtly for user recognition
under normal circumstances but which nevertheless provide
appropriate encoding for the fingerprint 2161. Various subtly
different versions of a given character might be used within a
single document so as to increase the ability to cany transaction
related font fingerprinted information.

Some other examples of applications for fingerprinting might

1. In software programs, selecting certain
interchangeable code fragments in such a way as to
produce more or less identical operation, but on
analysis, differences that detail fingerprint
information.

2. With databases, selecting to format certain fields, such
as dates, to appear in different ways.

include:

485

(0064091.01)

3. In games, adjusting backgrounds, or changing order of
certain events, including noticeable or very subtle
changes in timing and/or ordering of appearance of
game elements, or slight changes in the look of
elements of the game.

Fingerprinting method 2160 is typically performed (if at all)
at the point at which content is released from a content object 300.
However, it could also be performed upon distribution of an object
to "mark" the content while still in encrypted form. For example,
a network-based object repository could embed fingerprints 2161
into the content of an object before transmitting the object to the
requester, the fingerprint information could identify a content
requester/end user. This could help detect "spoof electronic
appliances 600 used to release content without authorization.

Figure 59 is a flowchart of an example of process control
steps performed by a representative performed by a DESTROY
method 2180 provided by the preferred embodiment. DESTROY
method 2180 removes the ability of a user to use an object by
destroying the URT the user requires to access the object. In the
preferred embodiment, a DESTROY method 2180 may first write
audit information to an Audit UDE (blocks 2182, 2184).
DESTROY method 2180 may than call a WRITE and/or ACCESS
method to write information which will corrupt (and thus destroy)
the header and/or other important parts of the object (block 2186).
DESTROY method 2180 may then mark one or more of the control
structures (e.g., the URT) as damaged by writing appropriate

Destroy

486

(0064091.01)

information to the control structure (blocks 2188, 2190).
DESTROY method 2180, finally, may write additional audit
information to Audit UDE (blocks 2192, 2194) before terminating
(terminate point 2196).

Panic

Figure 60 is a flowchart of an example of process control
steps performed by a representative example of a PANIC method
2200 provided by the preferred embodiment. PANIC method 2200
may be called when a security violation is detected. PANIC
method 2200 may prevent the user from further accessing the
object currently being accessed by, for example, destroying the
channel being used to access the object and marking one or more
of the control structures (e.g., the URT) associated with the user
and object as damaged (blocks 2206, and 2208-2210, respectively).
Because the control structure is damaged, the VDE node will need
to contact an administrator to obtain a valid control structure(s)
before the user may access the same object again. When the VDE
node contacts the administrator, the administrator may request
information sufficient to satisfy itself that no security violation
occurred, or if a security violation did occur, take appropriate steps
to ensure that the security violation is not repeated.

Meter

Figure 61 is a flowchart of an example of process control
steps performed by a representative example of a METER method
provided by the preferred embodiment. Although METER
methods were described above in connection with Figures 49, 50
and 51, the METER method 2220 shown in Figure 61 is possibly a

487

(0064091.01)

somewhat more representative example. In the preferred
embodiment, METER method 2220 first primes an Audit Trail by
accessing a METER Audit Trail UDE (blocks 2222, 2224). METER
method 2220 may then read the DTD for the Meter UDE from the
secure database (blocks 2226, 2228). METER method 2220 may
then read the Meter UDE from the secure database (blocks 2230,
2232). METER method 2220 next may test the obtained Meter
UDE to determine whether it has expired (decision block 2234). In
the preferred embodiment, each Meter UDE may be marked with
an expiration date. If the current date/time is later than the
expiration date of the Meter UDE Cyes" exit to decision block
2234), then the METER method 2220 may record a failure in the
Audit Record and terminate with a failure condition (block 2236,
2238).

Assuming the Meter UDE is not yet expired, the meter
method 2220 may update it using the atomic element and event
count passed to the METER method from, for example, an EVENT
method (blocks 2239, 2240). The METER method 2220 may then
save the Meter Use Audit Record in the Meter Audit Trail UDE
(blocks 2242, 2244), before terminating (at terminate point 2246).

Additional Security Features Provided by the Preferred
Embodiment

VDE 100 provided by the preferred embodiment has
sufficient security to help ensure that it cannot be compromised
short of a successful ''brute force attack, 0 and so that the time and
cost to succeed in such a "brute force attack 0 substantially exceeds
any value to be derived. In addition, the security provided by

488

(0064091.01)

VDE 100 compartmentalizes the internal workings of VDE so that
a successful "brute force attack" would compromise only a strictly
bounded subset of protected information, not the entire system.

The following are among security aspects and features
provided by the preferred embodiment:

security of PPE 650 and the processes it performs

• security of secure database 610

• security of encryption/decryption performed by PPE
650

• key management; security of encryption/decryption
keys and shared secrets

• security of authentication/external communications

• security of secure database backup

• secure transportability of VDE internal information
between electronic appliances 600

• security of permissions to access VDE secure
information

security of VDE objects 300

• integrity of VDE security.

Some of these security aspects and considerations are
discussed above. The following provides an expanded discussion of
preferred embodiment security features not fully addressed
elsewhere.

489

(0064091.01)

Management of Keys and Shared Secrets

VDE 100 uses keys and shared secrets to provide security.
The following key usage features are provided by the preferred

emboti* lent:

• different cryptosystem/key types

• secure key length

• key generation

key "convolution" and key "aging."
Each of these types are discussed below.

A. Public-Key and Symmetric Key Cryptoaysteins

The process of disguising or transforming information to
hide its substance is called encryption. Encryption produces
"ciphertext." Reversing the encryption process to recover the
substance from the ciphertext is called "decryption" A
cryptographic algorithm is the mathematical function used for
encryption and decryption.

Most modern cryptographic algorithms use a "key." The
"key" specifies one of a family of transformations to be provided.
Keys allow a standard, published and tested cryptographic
algorithm to be used while ensuring that specific transformations
performed using the algorithm are kept secret. The secrecy of the
particular transformations thus depends on the secrecy of the key,
not on the secrecy of the algorithm.

There are two general forms of key-based algorithms, either
or both of which may be used by the preferred embodiment PPE

650:

490

(0064091.01)

symmetric; and
public-key CPK").

Symmetric algorithms are algorithms where the encryption
key can be calculated from the decryption key and vice versa. In
many such systems, the encryption and decryption keys are the
same. The algorithms, also called "secret-key", "single key" or
"shared secret" algorithms, require a sender and receiver to agree
on a key before ciphertext produced by a sender can be decrypted
by a receiver. This key must be kept secret. The security of a
symmetric algorithm rests in the key: divulging the key means
that anybody could encrypt and decrypt information in such a
cryptosystem. See Schneier, Applied Cryptography at Page 3.
Some examples of symmetric key algorithms that the preferred
embodiment may use include DES, Skipjack/Clipper, IDEA, RC2,
and RC4.

In public-key cryptosystems, the key used for encryption is
different from the key used for decryption. Furthermore, it is
computationally infeasible to derive one key from the other. The
algorithms used in these cryptosystems are called "public key"
because one of the two keys can be made public without
endangering the security of the other key. They are also
sometimes called "asymmetric" cryptosystems because they use
different keys for encryption and decryption. Examples of public-
key algorithms include RSA, El Gamal and LUC.

The preferred embodiment PPE 650 may operate based on
only symmetric key cryptosystems, based on public-key

(0064091.01)

cryptosystems, or based on both symmetric key cryptosystems and
public-key cryptosys terns. VDE 100 does not require any specific
encryption algorithms; the architecture provided by the preferred
embodiment m?~ support numerous algorithms including PK
and/or secret key (non PK) algorithms. In some cases, the choice
of encryption/decryption algorithm will be dependent on a number
of business decisions such as cost, market demands, compatibility
with other commercially available systems, export laws, etc.

Although the preferred embodiment is not dependent on any
particular type of cryptosystem or encryption/decryption
algorithm(s), the preferred example uses PK cryptosystems for
secure communications between PPEs 650, and uses secret key
cryptosystems for ''bulk" encryption/decryption of VDE objects 300.
Using secret key cryptosystems (e.g., DES implementations using
multiple keys and multiple passes, Skipjack, RC2, or RC4) for
"bulk" encryption/decryption provides efficiencies in encrypting
and decrypting large quantities of information, and also permits
PPEs 650 without PK-capability to deal with VDE objects 300 in a
variety of applications. Using PK cryptosystems for
communications may provide advantages such as eliminating
reliance on secret shared external communication keys to establish
communications, allowing for a challenge/response that doesn't
rely on shared internal secrets to authenticate PPEs 650, and
allowing for a publicly available "certification* process without
reliance on shared secret keys.

Some content providers may wish to restrict use of their
content to PK implementations. This desire can be supported by

492

(0064091.01)

•

making the availability of PK capabilities, and the specific nature
or type of PK capabilities, in PPEs 650 a factor in the registration
of VDE objects 300, for example, by including a requirement in a
REGISTER method for such objects in the form of a load module
that examines a PPE 650 for specific or general PK capabilities
before allowing registration to continue.

Although VDE 100 does not require any specific algorithm,
it is highly desirable that all PPEs 650 are capable of using the
same algorithm for bulk encryption/decryption. If the bulk
encryption/decryption algorithm used for encrypting VDE objects
300 is not standardized, then it is possible that not all VDE
electronic appliances 600 will be capable of handling all VDE
objects 300. Performance differences will exist between different
PPEs 650 and associated electronic appliances 600 if standardized
bulk encryption/decryption algorithms are not implemented in
whole or in part by hardware-based encrypt/decrypt engine 522,
and instead are implemented in software. In order to support
algorithms that are not implemented in whole or in part by
encrypt/decrypt engine 522, a component assembly that
implements such an algorithm must be available to a PPE 650.

B. Key Length

Increased key length may increase security. A "brute-force"
attack of a cryptosystem involves trying every possible key. The
longer the key, the more possible keys there are to try. At some
key length, available computation resources will require an
unpractically large amount of time for a Hbrute force" attacker to
try every possible key.

493

(0064091.01)

VDE 100 provided by the preferred embodiment
accommodates and can use many different key lengths. The
length of keys used by VDE 100 in the preferred embodiment is
determined by the algorithm(s) used for encryption/decryption, the
level of security desired, and throughput requirements. Longer
keys generally require additional processing power to ensure fast
encryption/decryption response times. Therefore, there is a
tradeoff between (a) security, and (b) processing time and/or
resources. Since a hardware-based PPE encrypt/decrypt engine
522 may provide faster processing than software-based
enciyption/decryption, the hardware-based approach may, in
general, allow use of longer keys.

The preferred embodiment may use a 1024 bit modulus (key)
RSA cryptosystem implementation for PK encryption/decryption,
and may use 56-bit DES for "bulk" encryption/deciyption. Since
the 56-bit key provided by standard DES may not be long enough
to provide sufficient security for at least the most sensitive VDE
information, multiple DES encryptions using multiple passes and
multiple DES keys may be used to provide additional security.
DES can be made significantly more secure if operated in a
manner that uses multiple passes with different keys. For
example, three passes with 2 or 3 separate keys is much more
secure because it effectively increases the length of the key. RC2
and RC4 (alternatives to DES) can be exported for up to 40-bit key
sizes, but the key size probably needs to be much greater to
provide even DES level security. The 80-bit key length provided
by NSA's Skipjack may be adequate for most VDE security needs.

494

(0064091.01)

•

•

The capability of downloading code and other information
dynamically into PPE 650 allows key length to be adjusted and
changed dynamically even after a significant number of VDE
electronic appliances 600 are in use. The ability of a VDE
administrator to communicate with each PPE 650 efficiently
makes such after-the-fact dynamic changes both possible and cost-
effective. New or modified cryptosystems can be downloaded into
existing PPEs 650 to replace or add to the cryptosystem repertoire
available within the PPE, allowing older PPEs to maintain
compatibility with newer PPEs and/or newly released VDE objects
300 and other VDE-protected information. For example, software
encryption/decryption algorithms may be downloaded into PPE 650
at any time to supplement the hardware-based functionality of
encrypt/decrypt engine 522 by providing different key length
capabilities. To provide increased flexibility, PPE encrypt/decrypt
engine 522 may be configured to anticipate multiple passes and/or
variable and/or longer key lengths. In addition, it may be
desirable to provide PPEs 650 with the capability to internally
generate longer PK keys.

C. Key Generation

Key generation techniques provided by the preferred
embodiment permit PPE 650 to generate keys and other
information that are "known" only to it.

The security of encrypted information rests in the security of
the key used to encrypt it. If a cryptographically weak process is
used to generate keys, the entire security is weak. Good keys are
random bit strings so that every possible key in the key space is

495

(0064091.01)

#

equally likely. Therefore, keys should in general be derived from a
reliably random source, for example, by a cryptographically secure
pseudo-random number generator seeded from such a source.
Examples of such key generators are described in Schneier,
Applied Cryptography (John Wiley and Sons, 1994), chapter 15. If
keys are generated outside a given PPE 650 (e.g., by another PPE
650), they must be verified to ensure they come from a trusted
source before they can be used. "Certification" may be used to
verify keys.

The preferred embodiment PPE 650 provides for the
automatic generation of keys. For example, the preferred
embodiment PPE 650 may generate its own public/private key pair
for use in protecting PK-based external communications and for
other reasons. A PPE 650 may also generate its own symmetric
keys for various purposes during and after initialization. Because
a PPE 650 provides a secure environment, most key generation in
the preferred embodiment may occur within the PPE (with the
possible exception of initial PPE keys used at manufacturing or
installation time to allow a PPE to authenticate initial download
messages to it).

Good key generation relies on randomness. The preferred
embodiment PPE 650 may, as mentioned above in connection with
Figure 9, includes a hardware-based random number generator
542 with the characteristics required to generate reliable random
numbers. These random numbers may be used to "seed" a
cryptographically strong pseudo-random number generator (e.g.,
DES operated in Output Feedback Mode) for generation of

496

(0064091.01)

additional key values derived from the random seed. In the
preferred embodiment, random number generator 542 may consist
of a "noise diode" or other physically-based source of random
values (e.g., radioactive decay).

If no random number generator 542 is available in the PPE
650, the SPE 503 may employ a cryptographic algorithm (e.g.,
DES in Output Feedback Mode) to generate a sequence of pseudo-
random values derived from a secret value protected within the
SPE. Although these numbers are pseudo-random rather than
truly random, they are cryptographically derived from a value
unknown outside the SPE 503 and therefore may be satisfactory in
some applications.

In an embodiment incorporating an HPE 655 without an
SPE 503, the random value generator 565 software may derive
reliably random numbers from unpredictable external physical
events (e.g., high-resolution timing of disk I/O completions or of
user keystrokes at an attached keyboard 612).

Conventional techniques for generating PK and non-PK keys
based upon such "seeds" may be used. Thus, if performance and
manufacturing costs permit, PPE 650 in the preferred embodiment
will generate its own public/private key pair based on such random
or pseudo-random "seed* 1 values. This key pair may then be used
for external communications between the PPE 650 that generated
the key pair and other PPEs that wish to communicate with it.
For example, the generating PPE 650 may reveal the public key of
the key pair to other PPEs. This allows other PPEs 650 using the

497

(0064091.01)

public key to encrypt messages that may be decrypted only by the
generating PPE (the generating PPE is the only PPE that
"knows" the corresponding "private key"). Similarly, the
generating PPE 650 may encrypt messages usin& its private key
that, when decrypted successfully by other PPEs with the
generating PPE's public key, permit the other PPEs to
authenticate that the generating PPE sent the message.

Before one PPE 650 uses a public key generated by another
PPE, a public key certification process should be used to provide
authenticity certificates for the public key. A public-key certificate
is someone's public key "signed" by a trustworthy entity such as an
authentic PPE 650 or a VDE administrator. Certificates are used
to thwart attempts to convince a PPE 650 that it is communicating
with an authentic PPE when it is not (e.g., it is actually
communicating with a person attempting to break the security of
PPE 650). One or more VDE administrators in the preferred
embodiment may constitute a certifying authority. By "signing"
both the public key generated by a PPE 650 and information about
the PPE and/or the corresponding VDE electronic appliance 600
(e.g., site ID, user ID, expiration date, name, address, etc.), the
VDE administrator certifying authority can certify that
information about the PPE and/or the VDE electronic appliance is
correct and that the public key belongs to that particular VDE
mode.

Certificates play an important role in the trustedness of
digital signatures, and also are important in the public-key
authentication communications protocol (to be discussed below).

(0064091.01)

In the preferred embodiment, these certificates may include
information about the trustedness/level of security of a particular
VDE electronic appliance 600 (e.g., whether or not it has a
hardware-based SPE 503 or is instead a less trusted software
emulation type HPE 655) that can be used to avoid transmitting
certain highly secure information to less trusted/secure VDE
installations.

Certificates can also play an important role in
decommissioning rogue users and/or sites. By including a site
and/or user ID in a certificate, a PPE can evaluate this
information as an aspect of authentication. For example, if a VDE
administrator or clearinghouse encounters a certificate bearing an
ID (or other information) that meets certain criteria (e.g., is
present on a list of decommissioned and/or otherwise suspicious
users and/or sites), they may choose to take actions based on those
criteria such as refusing to communicate, communicating disabling
information, notifying the user of the condition, etc. Certificates
also typically include an expiration date to ensure that certificates
must be replaced periodically, for example, to ensure that sites
and/or users must stay in contact with a VDE administrator
and/or to allow certification keys to be changed periodically. More
than one certificate based on different keys may be issued for sites
and/or users so that if a given certification key is compromised,
one or more "backup" certificates may be used. If a certification
key is compromised, A VDE administrator may refuse to
authenticate based on certificates generated with such a key, and
send a signal after authenticating with a "backup" certificate that
invalidates all use of the compromised key and all certificates

(0064091.01)

associated with it in further interactions with VDE participants.
A new one or more "backup" certificates and keys may be created
and sent to the authenticated site/user after such a compromise.

If multiple certificates are available, some of the certificates
may be reserved as backups. Alternatively or in addition, one
certificate from a group of certificates may be selected (e.g., by
using RNG 542) in a given authentication, thereby reducing the
likelihood that a certificate associated with a compromised
certification key will be used. Still alternatively, more than one
certificate may be used in a given authentication.

To guard against the possibility of compromise of the
certification algorithm (e.g., by an unpredictable advance in the
mathematical foundations on which the algorithm is based),
distinct algorithms may used for different certificates that are
based on different mathematical foundations.

Another technique that may be employed to decrease the
probability of compromise is to keep secret (in protected storage in
the PPE 650) the "public* values on which the certificates are
based, thereby denying an attacker access to values that may aid
in the attack. Although these values are nominally "public," they
need be known only to those components which actually validate
certificates (i.e., the PPE 650).

In the preferred embodiment, PPE 650 may generate its own
certificate, or the certificate may be obtained externally, such as
from a certifying authority VDE administrator. Irrespective of

(0064091.01)

certificates may incorporate both user and site information or may
only include user information. Generally, a certifying authority
will require a valid site certificate to be presented prior to creating
a certificate for a given user. Users may each require their own
public key/private key pair in order to obtain certificates. VDE
administrators, clearinghouses, and other participants may
normally require authentication of both the site (PPE 650) and of
the user in a communication or other interaction. The processes
described above for key generation and certification for PPEs 650
may also be used to form site/user certificates or user certificates.

Certificates as described above may also be used to certify
the origin of load modules 1100 and/or the authenticity of
administrative operations. The security and assurance techniques
described above may be employed to decrease the probability of
compromise for any such certificate (including certificates other
than the certificate for a VDE electronic appliance 600's identity).

D. Key Aging and Convolution

PPE 650 also has the ability in the preferred embodiment to
generate secret keys and other information that is shared between
multiple PPEs 650. In the preferred embodiment, such secret keys
and other information may be shared between multiple VDE
electronic appliances 600 without requiring the shared secret
information to ever be communicated explicitly between the
electronic appliances. More specifically, PPE 650 uses a technique
called "key convolution" to derive keys based on a deterministic
process in response to seed information shared between multiple
VDE electronic appliances 600. Since the multiple electronic

502

(0064091.01)

where the digital certificate is generated, the certificate is
eventually registered by the VDE administrator certifying
authority so that other VDE electronic appliances 600 may have
access to (and trust) the public key. For example, PPE 650 may
communicate its public key and other information to a certifying
authority which may then encrypt the public key and other
information using the certifying authority's private key. Other
installations 600 may trust the "certificate" because it can be
authenticated by using the certifying authority's public key to
decrypt it. As another example, the certifying authority may
encrypt the public key it receives from the generating PPE 650
and use it to encrypt the certifying authority's private key. The
certifying authority may then send this encrypted information
back to the generating PPE 650. The generating PPE 650 may
then use the certifying authority's private key to internally create
a digital certificate, after which it may destroy its copy of the
certifying authority's private key. The generating PPE 650 may
then send out its digital certificate to be stored in a certification
repository at the VDE administrator (or elsewhere) if desired. The
certificate process can also be implemented with an external key
pair generator and certificate generator, but might be somewhat
less secure depending on the nature of the secure facility. In such
a case, a manufacturing key should be used in PPE 650 to limit
exposure to the other keys involved.

A PPE 650 may need more than one certificate. For
example, a certificate may be needed to assure other users that a
PPE is authentic, and to identify the PPE. Further certificates
may be needed for individual users of a PPE 650. These

501

(0064091.01)

appliances 600 "know" what the "seed* information is and also
"know" the deterministic process used to generate keys based on
this information, each of the electronic appliances may
independently generate the "true key." This permits multiple VDE
electronic appliances 600 to share a common secret key without
potentially compromising its security by communicating it over an
insecure channel.

No encryption key should be used for an indefinite period.
The longer a key is used, the greater the chance that it may be
compromised and the greater the potential loss if the key is
compromised but still in use to protect new information. The
longer a key is used, the more information it may protect and
therefore the greater the potential rewards for someone to spend
the effort necessary to break it. Further, if a key is used for a long
time, there may be more ciphertext available to an attacker
attempting to break the key using a ciphertext-based attack. See
Schneier at 150-151. Key convolution in the preferred
embodiment provides a way to efficiently change keys stored in
secure database 610 on a routine periodic or other basis while
simplifying key management issues surrounding the change of
keys. In addition, key convolution may be used to provide "time
aged keys a (discussed below) to provide "expiration dates" for key
usage and/or validity.

Figure 62 shows an example implementation of key
convolution in the preferred embodiment. Key convolution may be
performed using a combination of a site ID 2821 and the high-
order bits of the RTC 528 to yield a site-unique value "V that is

503

(0064091.01)

time-dependent on a large scale (e.g., hours or days). This value
"V w may be used as the key for an encryption process 2871 that
transforms a convolution seed value 2861 into a "current
convolution key" 2862. The seed value 2861 may be a universe-
wide or group-wide shared secret value, and may be stored in
secure key storage (e.g., protected memory within PPE 650). The
seed value 2861 is installed during the manufacturing process and
may be updated occasionally by a VDE administrator. There may
be a plurality of seed values 2861 corresponding to different sets of
objects 300.

The current convolution key 2862 represents an encoding of
the site ID 2821 and current time. This transformed value 2862
may be used as a key for another encryption process 2872 to
transform the stored key 810 in the object's PERC 808 into the
true private body key 2863 for the object's contents.

The "convolution function" performed by blocks 2861, 2871
may, for example, be a one-way function that can be performed
independently at both the content creator's site and at the content
user's site. If the content user does not use precisely the same
convolution function and precisely the same input values (e.g.,
time and/or site and/or other information) as used by the content
creator, then the result of the convolution function performed by
the content user will be different from the content creator's result.
If the result is used as a symmetrical key for encryption by the
content creator, the content user will not be able to decrypt unless
the content user's result is the same as the result of the content
creator.

504

(0064091.01)

The time component for input to the key convolution
function may be derived from RTC 528 (care being taken to ensure
that slight differences in RTC synchronization between VDE
electronic appliances will not cause different electronic appliances
to use different time components). Different portions of the RTC
528 output may be used to provide keys with different valid
durations, or some tolerance can be built into the process to try
several different key values. For example, a "time granularity"
parameter can be adjusted to provide time tolerance in terms of
days, weeks, or any other time period. As one example, if the
"time granularity" is set to 2 days, and the tolerance is ±2 days,
then three real-time input values can be tried as input to the
convolution algorithm. Each of the resulting key values may be
tried to determine which of the possible keys is actually used. In
this example, the keys will have only a 4 day life span.

Figure 63 shows how an appropriate convoluted key may be
picked in order to compensate for skew between the user's RTC
528 and the producer's RTC 528. A sequence of convolution keys
2862 (a-e) may be generated by using different input values
2881(a-e), each derived from the site ID 2821 and the RTC 528
value plus or minus a differential (e.g., -2 days, -1 days, no delta,
+1 days, +2 days). The convolution steps 2871(a-e) are used to
generate the sequence of keys 2862(a-e).

Meanwhile, the creator site may use the convolution step
287 l(z) based on his RTC 528 value (adjusted to correspond to the
intended validity time for the key) to generate a convoluted key
2862(z), which may then be used to generate the content key 2863

505

(0064091.01)

in the object's PERC 808. To decrypt the object's content, the user
site may use each of its sequence of convolution keys 2862 (a-e) to
attempt to generate the master content key 810. When this is
attempted, as long as the RTC 538 of 'he creator site is within
acceptable tolerance of the RTC 528 at the user site, one of keys
2862(a-e) will match key 2862(z) and the decryption will be
successful. In this example, matching is determined by validity of
decrypted output, not by direct comparison of keys.

Key convolution as described above need not use both site
ID and time as a value. Some keys may be generated based on
current real time, other keys might be generated on site ID, and
still other keys might be generated based on both current real-
time and site ID.

Key convolution can be used to provide w time-aged w keys.
Such w time-aged a keys provide an automatic mechanism for
allowing keys to expire and be replaced by "new* keys. They
provide a way to give a user time-limited rights to make time-
limited use of an object, or portions of an object, without requiring
user re-registration but retaining significant control in the hands
of the content provider or administrator. If secure database 610 is
sufficiently secure, similar capabilities can be accomplished by
checking an expiration date/time associated with a key, but this
requires using more storage space for each key or group of keys.

In the preferred embodiment, PERCs 808 can include an
expiration date and/or time after which access to the VDE-
protected information they correspond to is no longer authorized.

506

(0064091.01)

Alternatively or in addition, after a duration of time related to
some aspect of the use of the electronic appliance 600 or one or
more VDE objects 300, a PERC 808 can force a user to send audit
history information to a clearinghouse, distributor, client
administrator, or object creator in order to regain or retain the
right to use the object(s). The PERC 808 can enforce such time-
based restrictions by checking/enforcing parameters that limit key
usage and/or availability past time of authorized use. Time aged"
keys may be used to enforce or enhance this type of time-related
control of access to VDE protected information.

"Time aged" keys can be used to enciypt and decrypt a set of
information for a limited period of time, thus requiring
re-registration or the receipt of new permissions or the passing of
audit information, without which new keys are not provided for
user use. Time aged keys can also be used to improve system
security since one or more keys would be automatically replaced
based on the time ageing criteria — and thus, cracking secure
database 610 and locating one or more keys may have no real
value. Still another advantage of using time aged keys is that
they can be generated dynamically— thereby obviating the need to
store decryption keys in secondary and/or secure memory.

A "time aged key" in the preferred embodiment is not a
"true key" that can be used for encryption/decryption, but rather is
a piece of information that a PPE 650, in conjunction with other
information, can use to generate a "true key." This other
information can be time-based, based on the particular "ID" of the
PPE 650, or both. Because the "true key" is never exposed but is

(0064091.01)

always generated within a secure PPE 650 environment, and
because secure PPEs are required to generate the "true key," VDE
100 can use "time aged a keys to significantly enhance security and
flexibility of the system.

The process of "aging" a key in the preferred embodiment
involves generating a time-aged "true key" that is a function of: (a)
a "true key," and (b) some other information (6.g., real time
parameters, site ID parameters, etc.) This information is
combined/transformed (e.g., using the "key convolution" techniques
discussed above) to recover or provide a "true key" Since the
"true key" can be recovered, this avoids having to store the "true
key" within PERC 808, and allow different "true keys" to
correspond to the same information within PERC 808. Because
the "true key" is not stored in the PERC 808, access to the PERC
does not provide access to the information protected by the "true
key." Thus, "time aged" keys allows content creators/providers to
impose a limitation (e.g., site based and/or time based) on
information access that is, in a sense, "external of" or auxiliary to
the permissioning provided by one or more PERCs 808. For
example, a "time aged" key may enforce an additional time
limitation on access to certain protected information, this
additional time limitation being independent of any information or
permissioning contained within the PERC 808 and being instead
based on one or more time and/or site ID values.

As one example, time-aged decryption keys may be used to
allow the purchaser of a "trial subscription" of an electronically
published newspaper to access each edition of the paper for a

508

(0064091.01)

period of one week, after which the decryption keys will no longer
work. In this example, the user would need to purchase one or
more new PERCs 808, or receive an update to an existing one or
more permissions records, to access editions other than the ones
from that week. Access to those other editions which might be
handled with a totally different pricing structure (e.g., a "regular"
subscription rate as opposed to a free or minimal "trial*
subscription rate).

In the preferred embodiment, time-aged-based "true keys"
can be generated using a one-way or invertible "key convolution"
function. Input parameters to the convolution function may
include the supplied time-aged keys; user and/or site specific
values; a specified portion (e.g., a certain number of high order
bits) of the time value from an RTC 528 (if present) or a value
derived from such time value in a predefined manner; and a block
or record identifier that may be used to ensure that each time
aged key is unique. The output of the "key convolution" function
may be a "true key" that is used for decryption purposes until
discarded. Running the function with a time-aged key and
inappropriate time values typically yields a useless key that will
not decrypt.

Generation of a new time aged key can be triggered based
on some value of elapsed, absolute or relative time (e.g., based on
a real time value from a clock such as RTC 528). At that time, the
convolution would produce the wrong key and decryption could not
occur until the time-aged key is updated. The criteria used to
determine when a new "time aged key" is to be created may itself

(0064091.01)

be changed based on time or some other input variable to provide
yet another level of security. Thus, the convolution function
and/or the event invoking it may change, shift or employ a varying
quantity as a parameter.

One example of the use of time-aged keys is as follows:

1) A creator makes a "true" key, and encrypts content
with it.

2) A creator performs a "reverse convolution" to yield a
"time aged key" using, as input parameters to the
"reverse convolution":

a) the "true" key,

b) a time parameter (e.g., valid high-order
time bits of RTC 528), and

c) optional other information (e.g., site ID
and/or user ID).

3) The creator distributes the "time-aged key" to content
users (the creator may also need to distribute the
convolution algorithm and/or parameters if she is not
using a convolution algorithm already available to the
content users' PPE 650).

4) The content user's PPE 650 combines:

a) "time-aged" key

b) high-order time bits

c) required other information (same as 2c).

It performs a convolution function (i.e., the inverse of "reverse
convolution" algorithm in step (2) above) to obtain the "true" key.

510

(0064091.01)

If the supplied time and/or other information is "wrong," the
convolution function will not yield the "true" key, and therefore
content cannot be decrypted.

Any of the key blocks associated with VDE objects 300 or
other items can be either a regular key block or a time-aged key
block, as specified by the object creator during the object
configuration process, or where appropriate, a distributor or client
administrator.

Time aged" keys can also be used as part of protocols to
provide secure communications between PPEs 650. For example,
instead of providing "true" keys to PPE 650 for communications,
VDE 100 may provide only "partial" communication keys to the
PPE. These "partial" keys may be provided to PPE 650 during
initialization, for example. A predetermined algorithm may
produce "true keys" for use to encrypt/decrypt information for
secure communications. The predetermined algorithm can "age"
these keys the same way in all PPEs 650, or PPEs 650 can be
required to contact a VDE administrator at some predetermined
time so a new set of partial communications keys can be
downloaded to the PPEs. If the PPE 650 does not generate or
otherwise obtain "new" partial keys, then it will be disabled from
communicating with other PPEs (a further, "fail safe" key may be
provided to ensure that the PPE can communicate with a VDE
administrator for reinitialization purposes). Two sets of partial
keys can be maintained within a PPE 650 to allow a fixed amount
of overlap time across all VDE appliances 600. The older of the
two sets of partial keys can be updated periodically.

(0064091.01)

The following additional types of keys (to be discussed
below) can also be "aged" in the preferred embodiment:

individual message keys (i.e., keys used for a particular
message),

administrative, stationary and travelling object shared keys,
secure database keys, and
private body and content keys.

Initial Installation Key Management

Figure 64 shows the flow of universe-wide, or "master," keys
during creating of a PPE 650. In the preferred embodiment, the
PPE 650 contains a secure non-volatile key storage 2802 (e.g. SPU
500 non-volatile RAM 534 B or protected storage maintained by
HPE 655) that is initialized with keys generated by the
manufacturer and by the PPE itself.

The manufacturer possesses (i.e., knows, and protects from
disclosure or modification) one or more public key 2811/private key
2812 key pairs used for signing and validating site identification
certificates 2821. For each site, the manufacturer generates a site
ID 2821 and list of site characteristics 2822. In addition, the
manufacturer possesses the public keys 2813, 2814 for validating
load modules and initialization code downloads. To enhance
security, there may be a plurality of such certification keys, and
each PPE 650 may be initialized using only a subset of such keys
of each type.

As part of the initialization process, the PPE 650 may
generate internally or the manufacturer may generate and supply,

512

(0064091.01)

•

one or more pairs of site-specific public keys 2815 and private keys
2816. These are used by the PPE 650 to prove its identity.
Similarly, site-specific database key(s) 2817 for the site are
generated, and if needed (i.e., if a Random Number Generator 542
is not available), a random initialization seed 2818 is generated.

The initialization may begin by generating site ID 2821 and
characteristics 2822 and the site public key 2815/private key 2816
pair(s). These values are combined and may be used to generate
one or more site identity certificates 2823. The site identity
certificates 2823 may be generated by the public key generation
process 2804, and may be stored both in the PPE's protected key
storage 2802 and in the manufacturer's VDE site certificate
database 2803.

The certification process 2804 may be performed either by
the manufacturer or internally to the PPE 650. If performed by
the PPE 650, the PPE will temporarily receive the identity
certification private key(s) 2812, generate the certificate 2823,
store the certificate in local key storage 2802 and transmit it to
the manufacturer, after which the PPE 650 must erase its copy of
the identity certification private key(s) 2812.

Subsequently, initialization may require generation, by the
PPE 650 or by the manufacturer, of site-specific database key(s)
2817 and of site-specific seed value(s) 2818, which are stored in
the key storage 2802. In addition, the download certification
key(s) 2814 and the load module certification key(s) 2813 may be
supplied by the manufacturer and stored in the key storage 2802.

(0064091.01)

These may be used by the PPE 650 to validate all further
communications with external entities.

At this point, the PPE 650 may be further initialized with
executable code and data by downloading information certified by
the load module key(s) 2813 and download key(s) 2814. In the
preferred embodiment, these keys may be used to digitally sign
data to be loaded into the PPE 650, guaranteeing its validity, and
additional key(s) encrypted using the site-specific public key(s)
2815 may be used to encrypt such data and protect it from
disclosure.

Installation and Update Key Management

Figure 65 illustrates an example of further key installation
either by the manufacturer or by a subsequent update by a VDE
administrator. The manufacturer or administrator may supply
initial or new values for private header keyis) 2831, external
communication key(s) 2832, administrative object keys 2833, or
other shared key(s) 2834. These keys may be universe-wide in the
same sense as the global certification keys 2811, 2813, and 2814,
or they may be restricted to use within a defined group of VDE
instances.

To perform this installation, the installer retrieves the
destination site's identity certificate(s) 2823, and from that
extracts the site public key(s) 2815. These key(s) may be used in
an encryption process 2841 to protect the keys being installed.
The key(s) being installed are then transmitted inside the
destination site's PPE 650. Inside the PPE 650, the decryption

514

(0064091.01)

process 2842 may use the site private key(s) 2816 to decrypt the
transmission. The PPE 650 then stores the installed or updated
keys in its key storage 2802.

Object-Specific Key Use

Figures 66 and 67 illustrate the use of keys in protecting
data and control information associated with VDE objects 300,

Figure 66 shows use of a stationary content object 850
whose control information is derived from an administrative object
870. The objects may be received by the PPE 650 (e.g., by
retrieval from an object repository 728 over a network or retrieved
from local storage). The administrative object decryption process
2843 may use the private header key(s) 2815 to decrypt the
administrative object 870, thus retrieving the PERC 808 governing
access to the content object 850. The private body key(s) 810 may
then be extracted from the PERC 808 and used by the content
decryption process 2845 to make the content available outside the
PPE 650. In addition, the database key(s) 2817 may be used by
the encryption process 2844 to prepare the PERC for storage
outside the PPE 650 in the secure database 610. In subsequent
access to the content object 850, the PERC 808 may be retrieved
from the secure database 610, decrypted with database key(s)
2817, and used directly, rather than being extracted from
administrative object 870.

Figure 67 shows the similar process involving a traveling
object 860. The principal distinction between Figures 66 and 67 is
that the PERC 808 is stored directly within the traveling object

515

(0064091.01)

860, and therefore may be used immediately after the decryption
process 2843 to provide a private header key(s) 2831. This private
header key 283 lis used to process content within the traveling
object 860.

Secret-Key Variations

Figures 64 through 67 illustrate the preferred public-key
embodiment, but may also be used to help understand the secret-
key versions. In secret-key embodiments, the certification process
and the public key encryptions/decryptions are replaced with
private-key encryptions, and the public key/private-key pairs are
replaced with individual secret keys that are shared between the
PPE 650 instance and the other parties (e.g., the load module
suppliers), the PPE manufacturer). In addition, the certificate
generation process 2804 is not performed in secret-key
embodiments, and no site identity certificates 2823 or VDE
certificate database 2803 exist.

Key Types

The detailed descriptions of key types below further explain
secret-key embodiments; this summary is not intended as a
complete description.The preferred embodiment PPE 650 can use
different types of keys and/or different "shared secrets" for
different purposes. Some key types apply to a Public-Key/Secret
Key implementation, other keys apply to a Secret Key only

516

(0064091.01)

implementation, and still other key types apply to both. The
following table lists examples of various key and "shared secret"
information used in the preferred embodiment, and where this
information is used and stored:

Key/Secret Information Type

Used in PK or Non-
PK

Example Storage Location(a)

Master Key(s) (may include
some of the specific keys
mentioned below)

Both

PPE

- Manufacturing facility
VDE administrator

Manufacturing Key

Both (PK optional)

PPE (PK case)
Manufacturing facility

Certification key pair

PIT

DDT?

Certification reDositorv

Public/private key pair

PK

PPE

Certification renositorv (Public TCev

only)

Initial secret key

Non-PK

PPE

PPE manufacturing ID

Non-PK

PPE

Site ID, shared code, shared
keys and shared secrets

Both

PPE

Download authorization key

Both

PPE

VDE administrator

External communication
keys and other info

Both

PPE

Secure Database

Administrative object keys

Both

Permission record

Stationary object keys

Both

Permission record

Traveling object shared keys

Both

Permission record

Secure database keys

Both

PPE

Private body keys

Both

Secure database
Some objects

Content keys

Both

Secure database *
Some objects

Authorization shared secrets

Both

Permission record

Secure Database Back up
keys

Both

PPE

Secure database

Master Keys

A "master" key is a key used to encrypt other keys. An
initial or "master" key may be provided within PPE 650 for
communicating other keys in a secure way. During initialization

(0064091.01)

of PPE 650, code and shared keys are downloaded to the PPE.
Since the code contains secure convolution algorithms and/or
coefficients, it is comparable to a "master key." The shared keys
may also be considered "master keys."

If public-key cryptography is used as the basis for external
communication with PPE 650, then a master key is required
during the PPE Public-key pair certification process. This master
key may be, for example, a private key used by the manufacturer
or VDE administrator to establish the digital certificate (encrypted
public key and other information of the PPE), or it may, as
another example, be a private key used by a VDE administrator to
encrypt the entries in a certification repository. Once certification
has occurred, external communications between PPEs 650 may be
established using the certificates of communicating PPEs.

If shared secret keys are used as the basis for external
communications, then an initial secret key is required to establish
external communications for PPE 650 initialization. This initial
secret key is a "master key" in the sense that it is used to encrypt
other keys. A set of shared partial external communications keys
(see discussion above) may be downloaded during the PPE
initialization process, and these keys are used to establish
subsequent external PPE communications.

Manufacturing Key

A manufacturing key is used at the time of PPE
manufacture to prevent knowledge by the manufacturing staff of
PPE-specific key information that is downloaded into a PPE at
initialization time. For example, a PPE 650 that operates as part

518

(0064091.01)

of the manufacturing facility may generate information for
download into the PPE being initialized. This information must be
encrypted during communication between the PPEs 650 to keep it
confidential, or otherwise the manufat Lining staff could read the
information. A manufacturing key is used to protect the
information. The manufacturing key may be used to protect
various other keys downloaded into the PPE such as, for example,
a certification private key, a PPE public/private key pair, and/or
other keys such as shared secret keys specific to the PPE. Since
the manufacturing key is used to encrypt other keys, it is a
"master key. a

A manufacturing key may be public-key based, or it may be
based on a shared secret. Once the information is downloaded, the
now-initialized PPE 650 can discard (or simply not use) the
manufacturing key. A manufacturing key may be hardwired into
PPE 650 at manufacturing time, or sent to the PPE as its first key
and discarded after it is no longer needed. As indicated in the
table above and in the preceding discussion, a manufacturing key
is not required if PK capabilities are included in the PPE.

Certification Key Pair

A certification key pair may be used as part of a
"certification" process for PPEs 650 and VDE electronic appliances
600. This certification process in the preferred embodiment may
be used to permit a VDE electronic appliance to present one or
more "certificates" authenticating that it (or its key) can be
trusted. As described above, this "certification* 1 process may be
used by one PPE 650 to "certify* that it is an authentic VDE PPE,
it has a certain level of security and capability set (e.g., it is

519

(0064091.01)

hardware based rather than merely software based), etc. Briefly,
the "certification" process may involve using a certificate private
key of a certification key pair to encrypt a message including
another VDE node's public-key. The private key of a certification
key pair is preferably used to generate a PPE certificate. It is
used to encrypt a public-key of the PPE. A PPE certificate can
either be stored in the PPE, or it may be stored in a certification
repository.

Depending on the authentication technique chosen, the
public key and the private key of a certification key pair may need
to be protected. In the preferred embodiment, the certification
public key(s) is distributed amongst PPEs such that they may
make use of them in decrypting certificates as an aspect of
authentication. Since, in the preferred embodiment, this public
key is used inside a PPE 650, there is no need for this public key
to be available in plaintext, and in any event it is important that
such key be maintained and transmitted with integrity (e.g.,
during initialization and/or update by a VDE administrator). If
the certification public key is kept confidential (i.e., only available
in plaintext inside the PPE 650), it may make cracking security
much more difficult. The private key of a certification key pair
should be kept confidential and only be stored by a certifying
authority (i.e., should not be distributed).

In order to allow, in the preferred embodiment, the ability to
differentiate installations with different levels/degrees of
trustedness/security, different certification key pairs may be used
(e.g., different certification keys may be used to certify SPEs 503
then are used to certify HPEs 655).

(0064091.01)

PPE Public/Private Key Pair

In the preferred embodiment, each PPE 650 may have its
own unique "device" (and/or user) public/private key pair.
Preferably, the private key of this key pair is ge: crated within the
PPE and is never exposed in any form outside of the PPE. Thus,
in one embodiment, the PPE 650 may be provided with an internal
capability for generating key pairs internally. If the PPE
generates its own public-key crypto-system key pairs internally, a
manufacturing key discussed above may not be needed. If desired,
however, for cost reasons a key pair may be exposed only at the
time a PPE 650 is manufactured, and may be protected at that
time using a manufacturing key. Allowing PPE 650 to generate
its public key pair internally allows the key pair to be concealed,
but may in some applications be outweighed by the cost of putting
a public-key key pair generator into PPE 650.

Initial Secret Key

The initial secret key is used as a master key by a secret
key only based PPE 650 to protect information downloaded into
the PPE during initialization. It is generated by the PPE 650, and
is sent from the PPE to a secure manufacturing database
encrypted using a manufacturing key. The secure database sends
back a unique PPE manufacturing ID encrypted using the initial
secret key in response.

The initial secret key is likely to be a much longer key than
keys used for "standard" encryption due to its special role in PPE
initialization. Since the resulting decryption overhead occurs only
during the initialization process, multiple passes through the

521

(0064091.01)

decryption hardware with selected portions of this key are
tolerable.

PPE Manufacturing ID

The PPE manufacturing ID is not a "key," but does fall
within the classic definition of a "shared secret." It preferably
uniquely identifies a PPE 650 and may be used by the secure
database 610 to determine the PPE's initial secret key during the
PPE initialization process.

Site ID, Shared Code, Shared Keys and Shared Secrets

The VDE site ID along with shared code, keys and secrets
are preferably either downloaded into PPE 650 during the PPE
initialization process, or are generated internally by a PPE as part
of that process. In the preferred embodiment, most or all of this
information is downloaded.

The PPE site ID uniquely identifies the PPE 650. The site
ID is preferably unique so as to uniquely identify the PPE 650 and
distinguish that PPE from all other PPEs. The site ID in the
preferred embodiment provides a unique address that may be used
for various purposes, such as for example to provide "address
privacy* functions. In some cases, the site ID may be the public
key of the PPE 650. In other cases, the PPE site ID may be
assigned during the manufacturing and/or initialization process.
In the case of a PPE 650 that is not public-key-capable, it would
not be desirable to use the device secret key as the unique site ID
because this would expose too many bits of the key — and therefore
a different information string should be used as the site ID.

522

(0064091.01)

Shared code comprises those code fragments that provide at
least a portion of the control program for the PPE 650. In the
preferred embodiment, a basic code fragment is installed during
PPE manufacturing that permits the PPE to bootstrap and begin
the initialization process. This fragment can be replaced during
the initialization process, or during subsequent download
processing, with updated control logic.

Shared keys may be downloaded into PPE 650 during the
initialization process. These keys may be used, for example, to
decrypt the private headers of many object structures.

When PPE 650 is operating in a secret key only mode, the
initialization and download processes may import shared secrets
into the PPE 650. These shared secrets may be used during
communications processes to permit PPEs 650 to authenticate the
identity of other PPEs and/or users.

Download Authorization Key

The download authorization key is received by PPE 650
during the initialization download process. It is used to authorize
further PPE 650 code updates, key updates, and may also be used
to protect PPE secure database 610 backup to allow recovery by a
VDE administrator (for example) if the PPE fails. It may be used
along with the site ID, time and convolution algorithm to derive a
site ID specific key. The download authorization key may also be
used to encrypt the key block used to encrypt secure database 610
backups. It may also be used to form a site specific key that is
used to enable future downloads to the PPE 650. This download
authorization key is not shared among all PPEs 650 in the

523

(0064091.01)

preferred embodiment; it is specific to functions performed by
authorized VDE administrators.

External Communications Keys and Related Secret and Public
Information

There are several cases where keys are required when PPEs
650 communicate. The process of establishing secure
communications may also require the use of related public and
secret information about the communicating electronic appliances
600. The external communication keys and other information are
used to support and authenticate secure communications. These
keys comprise a public-key pair in the preferred embodiment
although shared secret keys may be used alternatively or in
addition.

Administrative Object Keys

In the preferred embodiment, an administrative object
shared key may be used to decrypt the private header of an
administrative object 870. In the case of administrative objects, a
permissions record 808 may be present in the private header. In
some cases, the permissions record 808 may be distributed as (or
within) an administrative object that performs the function of
providing a right to process the content of other administrative
objects. The permissions record 808 preferably contains the keys
for the private body, and the keys for the content that can be
accessed would be budgets referenced in that permissions record
808. The administrative object shared keys may incorporate time
as a component, and may be replaced when expired.

524

(0064091.01)

Stationary Object Keys

A stationaxy object shared key may be used to decrypt a
private header of stationary objects 850. As explained above, in
some cases a permissions record 808 may be present in the private
header of stationary objects. If present, the permissions record
808 may contain the keys for the private body but will not contain
the keys for the content. These shared keys may incorporate time
as a component, and may be replaced when expired.

Traveling Object Shared Keys

A traveling object shared key may be used to decrypt the
private header of traveling objects 860. In the preferred
embodiment, traveling objects contain permissions record 808 in
their private headers. The permissions record 808 preferably
contains the keys for the private body and the keys for the content
that can be accessed as permitted by the permissions record 808.
These shared keys may incorporate time as a component, and
may be replaced when expired.

Secure Database Keys

PPE 650 preferably generates these secure database keys
and never exposes them outside of the PPE. They are site-specific
in the preferred embodiment, and may be "aged" as described
above. As described above, each time an updated record is written
to secure database 610, a new key may be used and kept in a key
list within the PPE. Periodically (and when the internal list has
no more room), the PPE 650 may generate a new key to encrypt
new or old records. A group of keys may be used instead of a
single key, depending on the size of the secure database 610.

525

(0064091.01)

Private Body Keys

Private body keys are unique to an object 300, and are not
dependent on key information shared between PPEs 650. They
are preferably generated by the PPE 650 at the time the private
body is encrypted, and may incorporate real-time as a component
to "age" them. They are received in permissions records 808, and
their usage may be controlled by budgets.

Content Keys

Content Keys are unique to an object 300, and are not
dependent on key information shared between PPEs 650. They
are preferably generated by the PPE 650 at the time the content is
encrypted. They may incorporate time as a component to "age"
them. They are received in permissions records 808, and their
usage may be controlled by budgets.

Authorization Shared Secrets

Access to and use of information within a PPE 650 or within
a secure database 610 may be controlled using authorization
"shared secrets" rather than keys. Authorization shared secrets
may be stored within the records they authorize (permissions
records 808, budget records, etc.). The authorization shared secret
may be formulated when the corresponding record is created.
Authorization shared secrets can be generated by an authorizing
PPE 650, and may be replaced when record updates occur.
Authorization shared secrets have some characteristics associated
with "capabilities" used in capabilities based operating systems.
Access tags (described below) are an important set of authorization
shared secrets in the preferred embodiment.

526

(0064091.01)

Backup Keys

As described above, the secure database 610 backup consists
of reading all secure database records and current audit "roll ups a
stored in both PPE 650 and externally. Then, the backup process
decrypts and re-encrypts this information using a new set of
generated keys. These keys, the time of the backup, and other
appropriate information to identify the backup, may be encrypted
multiple times and stored with the previously encrypted secure
database files and roll up data within the backup files. These files
may then all be encrypted using a "backup key" that is generated
and stored within PPE 650. This backup key 500 may be used by
the PPE to recover a backup if necessary. The backup keys may
also be securely encrypted (e.g., using a download authentication
key and/or a VDE administrator public key) and stored within the
backup itself to permit a VDE administrator to recover the backup
in case of PPE 650 failure.

Cryptographic Sealing

Sealing is used to protect the integrity of information when
it may be subjected to modifications outside the control of the PPE
650, either accidentally or as an attack on the VDE security. Two
specific applications may be the computation of check values for
database records and the protection of data blocks that are
swapped out of an SPE 500.

There are two types of sealing: keyless sealing, also known
as cryptographic hashing, and keyed sealing. Both employ a
cryptographically strong hash function, such as MD5 or SHA.
Such a function takes an input of arbitrary size and yields a fixed-
size hash, or "digest." The digest has the property that it is

527

(0064091.01)

infeasible to compute two inputs that yield the same digest, and
infeasible to compute one input that yields a specific digest value,
where "infeasible" is with reference to a work factor based on the
size of the digest value in bits. If, for example, a 256-bit hash
function is to be called strong, it must require approximately on
average 10 A 38 (2 A 128) trials before a duplicated or specified digest
value is likely to be produced.

Keyless seals may be employed as check values in database
records (e.g., in PERC 808) and similar applications. A keyless
seal may be computed based on the content of the body of the
record, and the seal stored with the rest of the record. The
combination of seal and record may be encrypted to protect it in
storage. If someone modifies the encrypted record without
knowing the encryption key (either in the part representing the
data or the part representing the seal), the decrypted content will
be different, and the decrypted check value will not match the
digest computed from the record's data. Even though the hash
algorithm is known, it is not feasible to modify both the record's
data and its seal to correspond because both are encrypted.

Keyed seals may be employed as protection for data stored
outside a protected environment without encryption, or as a
validity proof between two protected environments. A keyed seal
is computed similarly to a keyless seal, except that a secret initial
value is logically prefixed to the data being sealed. The digest
value thus depends both on the secret and the data, and it is
infeasible to compute a new seal to correspond to modified data
even though the data itself is visible to an attacker. A keyed seal
may protect data in storage with a single secret value, or may

528

(0064091.01)

protect data in transit between two environments that share a
single secret value.

The choice of keys or keyless seals depends on the nature of
the data being protected and whether it is additionally protected
by encryption.

Tagging

Tagging is particularly useful for supporting the secure
storage of important component assembly and related information
on secondary storage memory 652. Integrated use of information
"tagging" and encryption strategies allows use of inexpensive mass
storage devices to securely store information that, in part enables,
limits and/or records the configuration, management and operation
of a VDE node and the use of VDE protected content.

When encrypted or otherwise secured information is
delivered into a user's secure VDE processing area (e.g., PPE 650),
a portion of this information can be used as a "tag" that is first
decrypted or otherwise unsecured and then compared to an
expected value to confirm that the information represents expected
information. The tag thus can be used as a portion of a process
confirming the identity and correctness of received, VDE protected,
information.

Three classes of tags that may be included in the control
structures of the preferred embodiment:

• access tags

• validation tags

• correlation tags.

529

(0064091.01)

These tags have distinct purposes.

An access tag may be used as a "shared secret" between
VDE protected elements and entities authorized to read and/or
modify the tagged element(s). The access tag may be broken into
separate fields to control different activities independently. If an
access tag is used by an element such as a method core 1000',
administrative events that affect such an element must include
the access tag (or portion of the access tag) for the affected
element(s) and assert that tag when an event is submitted for
processing. If access tags are maintained securely (e.g., created
inside a PPE 650 when the elements are created, and only
released from PPE 650 in encrypted structures), and only
distributed to authorized parties, modification of structures can be
controlled more securely. Of course, control structures (e.g.,
PERCs 808) may further limit or qualify modifications or other
actions expressed in administrative events.

Correlation tags are used when one element references
another element. For example, a creator might be required by a
budget owner to obtain permission and establish a business
relationship prior to referencing their budget within the creator's
PERCs. After such relationship was formed, the budget owner
might transmit one or more correlation tags to the creator as one
aspect of allowing the creator to produce PERCs that reference the
budget owner's budget.

Validation tags may be used to help detect record
substitution attempts on the part of a tamperer.

530

(0064091.01)

In some respects, these three classes of tags overlap in
function. For example, a correlation tag mismatch may prevent
some classes of modification attempts that would normally be
prevented by an access tag mismatch before an access tag check is
performed. The preferred embodiment may use this overlap in
some cases to reduce overhead by, for example, using access tags
in a role similar to validation tags as described above.

In general, tagging procedures involve changing, within SPE
503, encryption key(s), securing techniques(s), and/or providing
specific, stored tag(s). These procedures can be employed with
secure database 610 information stored on said inexpensive mass
storage 652 and used within a hardware SPU 500 for
authenticating, decrypting, or otherwise analyzing, using and
making available VDE protected content and management
database information. Normally, changing validation tags involves
storing within a VDE node hardware (e.g., the PPE 650) one or
more elements of information corresponding to the tagging
changes. Storage of information outside of the hardware SPE's
physically secure, trusted environment is a highly cost savings
means of secure storage, and the security of important stored
management database information is enhanced by this tagging of
information. Performing this tagging "change" frequently (for
example, every time a given record is decrypted) prevents the
substitution of "incorrect" information for "correct" information,
since said substitution will not carry information which will match
the tagging information stored within the hardware SPE during
subsequent retrieval of the information.

531

(0064091.01)

Another benefit of information tagging is the use of tags to
help enforce and/or verify information and/or control mechanisms
in force between two or more parties. If information is tagged by
one party, and then passed to another party or parties, a tag can
be used as an expected value associated with communications
and/or transactions between the two parties regarding the tagged
information. For example, if a tag is associated with a data
element that is passed by Party A to Party B, Party B may require
Party A to prove knowledge of the correct value of at least a
portion of a tag before information related to, and/or part of, said
data element is released by Party B to Party A, or vice versa. In
another example, a tag may be used by Party A to verify that
information sent by Party B is actually associated with, and/or
part of, a tagged data element, or vice versa.

Establishing A Secure, Authenticated, Communication Channel

From time to time, two parties (e.g., PPEs A and B), will
need to establish a communication channel that is known by both
parties to be secure from eavesdropping, secure from tampering,
and to be in use solely by the two parties whose identifies are
correctly known to each other.

The following describes an example process for establishing
such a channel and identifies how the requirements for security
and authentication may be established and validated by the
parties. The process is described in the abstract, in terms of the
claims and belief each party must establish, and is not to be taken
as a specification of any particular protocol. In particular, the
individual sub-steps of each step are not required to be
implemented using distinct operations; in practice, the

(0064091.01)

establishment and validation of related proofs is often combined
into a single operation.

The sub-steps need not be performed in the order detailed
below, except to the extent that the validity of a claim cannot be
proven before the claim is made by the other party. The steps
may involve additional communications between the two parties
than are implied by the enumerated sub-steps, as the
"transmission" of information may itself be broken into sub-steps.
Also, it is not necessary to protect the claims or the proofs from
disclosure or modification during transmission. Knowledge of the
claims (including the specific communication proposals and
acknowledgements thereof) is not considered protected
information. Any modification of the proofs will cause the proofs
to become invalid and will cause the process to fail.

Standard public-key or secret-key cryptographic techniques
can be used to implement this process (e.g., X.509, Authenticated
Diffie-Hellman, Kerberos). The preferred embodiment uses the
three-way X.509 public key protocol steps.

The following may be the first two steps in the example
process:

A. (precursor step): Establish means of creating
validatable claims by A

B. (precursor step): Establish means of creating
validatable claims by B

These two steps ensure that each party has a means of
making claims that can be validated by the other party, for

533

(0064091.01)

instance, by using a public key signature scheme in which both
parties maintain a private key and make available a public key
that itself is authenticated by the digital signature of a
certification authority.

The next steps may be:
A (proposal step) :

1. Determine B's identity

2. Acquire means of validating claims made by B

3. Create a unique identity for this specific proposed
communication

4. Create a communication proposal identifying the
parties and the specific communication

5. Create validatable proof of A's identity and the origin
of the communication proposal

6. Deliver comibunication proposal and associated proof
toB.

These steps establish the identity of the correspondent party
B and proposes a communication. Because establishment of the
communication will require validation of claims made by B, a
means must be provided for A to validate such claims. Because
the establishment of the communication must be unique to a
specific requirement by A for communication, this communication
proposal and all associated traffic must be unambiguously
distinguishable from all other such traffic. Because B must
validate the proposal as a legitimate proposal from A, a proof must
be provided that the proposal is valid.

534

(0064091.01)

The next steps may be as follows:

R farlcnnwledffement step):

1. Extract A's identity from the communication proposal

2. Acquire means of validating claims made by A

3. Validate A's claim of identity and communication
proposal origin

4. Determine the unique identification of the
communication proposal

5. Determine that the communication proposal does not
duplicate an earlier proposal

6. Create an acknowledgement identifying the specific
communication proposal

7. Create validatable proof of B's identity and the origin
of the acknowledgement

8. Deliver the acknowledgement and associated proof to
A.

These steps establish that party B has received A's
communication proposal and is prepared to act on it. Because B
must validate the proposal, B must first determine its origin and
validate its authenticity. B must ensure that its response is
associated with a specific proposal, and that the proposal is not a
replay. If B accepts the proposal, it must prove both B's own
identity and that B has received a specific proposal.

The next steps may be:
A (establishment step):
1. Validate B's claim acknowledgement of A's specific
proposal

(0064091.01)

2. Extract the identity of the specific communication
proposal from the acknowledgement

3. Determine that the acknowledgement is associated
with an outstanding communication proposal

4. Create unique session key to be used for the proposed
communication

5. Create proof of session key's creation by A

6. Create proof of session key's association with the
specific communication proposal

7. Create proof of receipt of B's acknowledgement

8. Protect the session key from disclosure in
transmission

9. Protect the session key from modification in
transmission

10. Deliver protected session key and all proofs to B.

These steps allows A to specify a session key to be
associated with all further traffic related to A's specific
communication proposal. A must create the key, prove that A
created it, and prove that it is associated with the specific
proposed communication. In addition, A must prove that the
session key is generated in response to B's acknowledgement of
the proposal. The session key must be protected from disclosure of
modification to ensure that an attacker cannot substitute a
different value.

Transportability of VDE Installations Between PPEs 650

In a preferred embodiment, VDE objects 300 and other
secure information may if appropriate, be transported from one
PPE 650 to another securely using the various keys outlined

536

(0064091.01)

above. VDE 100 uses redistribution of VDE administrative
information to exchange ownership of VDE object 300, and to
allow the portability of objects between electronic appliances 600.

The permissions record 808 of VDE objects 300 contains
rights information that may be used to determine whether an
object can be redistributed in whole, in part, or at all. If a VDE
object 300 can be redistributed, then electronic appliance 600
normally must have a Tbudget" and/or other permissioning that
allows it to redistribute the object. For example, an electronic
appliance 600 authorized to redistribute an object may create an
administrative object containing a budget or rights less than or
equal to the budget or rights that it owns. Some administrative
objects may be sent to other PPEs 650. A PPE 650 that receives
one of the administrative objects may have the ability to use at
least a portion of the budgets, or rights, to related objects.

Transfer of ownership of a VDE object 300 is a special case
in which all of the permissions and/or budgets for a VDE object
are redistributed to a different PPE 650. Some VDE objects may
require that all object-related information be delivered (e.g., it's
possible to "sell" all rights to the object). However, some VDE
objects 300 may prohibit such a transfer. In the case of ownership
transfer, the original providers for a VDE object 300 may need to
be contacted by the new owner, informed of the transfer, and
validated using an authorization shared secret that accompanies
reauthorization, before transfer of ownership can be completed.

When an electronic appliance 600 receives a component
assembly, an encrypted part of the assembly may contain a value

537

(0064091.01)

that is known only to the party or PPE 650 that supplied the
assembly. This value may be saved with information that must
eventually returned to the assembly supplier (e.g., audit, billing
and related information). When a component supplier requests
that information be reported, the value may be provided by the
supplier so that the local electronic appliance 600 can check it
against the originally supplied value to ensure that the request is
legitimate. When a new component is received, the value may be
checked against an old component to determine whether the new
component is legitimate (e.g., the new value for use in the next
report process may be included with the new component).

Integrity of VDE Security

There are many ways in which a PPE 650 might be
compromised. The goal of the security provided by VDE 100 is to
reduce the possibility that the system will be compromised, and
minimize the adverse effects if it is compromised.

The basic cryptographic algorithm that are used to
implement VDE 100 are assumed to be safe (cryptographically
strong). These include the secret-key encryption of content, public-
key signatures for integrity verification, public-key encryption for
privacy between PPEs 650 or between a PPE and a VDE
administrator, etc. Direct attack on these algorithms is assumed
to be beyond the capabilities of an attacker. For domestic versions
of VDE 100 some of this is probably a safe assumption since the
basic building blocks for control information have sufficiently long
keys and are sufficiently proven.

538

(0064091.01)

The following risks of threat or attacks may be significant:

• Unauthorized creation or modification of component
assemblies (e.g., budgets)

• Unauthorized bulk disclosure of content

• Compromise of one or more keys

• Software emulation of a hardware PPE

• Substitution of older records in place of newer records

• Introduction of "rogue" (i.e., unauthentic) load modules

• Replay attacks

• Defeating "fingerprinting"

• Unauthorized disclosure of individual content items

• Redistribution of individual content items.

A significant potential security breach would occur if one or
more encryption keys are compromised. As discussed above,
however, the encryption keys used by VDE 100 are sufficiently
varied and compartmentalized so that compromising one key
would have only limited value to an attacker in most cases. For
example, if a certification private key is exposed, an attacker could
pass the challenge/response protocol as discussed above but would
then confront the next level of security that would entail cracking
either the initialization challenge/response or the external
communication keys. If the initialization challenge/response
security is also defeated, the initialization code and various
initialization keys would also be exposed. However, it would still
be necessary to understand the code and data to find the shared
VDE keys and to duplicate the key-generation ("convolution")
algorithms. In addition, correct real time clock values must be
maintained by the spoof. If the attacker is able to accomplish all
of this successfully, then all secure communications to the bogus

539

(0064091.01)

PPE would be compromised. An object would be compromised if
communications related to the permissions record 808 of that
object are sent to the bogus PPE.

Knowledge of the PPE download authorization key and the
algorithms that are used to derive the key that encrypts the keys
for backup of secured database 610 would compromise the entire
secured database at a specific electronic appliance 600. However,
in order to use this information to compromise content of VDE
objects 300, an understanding of appropriate VDE internals would
also be required. In a preferred embodiment, the private body
keys and content keys stored in a secured database 610 are "aged"
by including a time component. Time is convoluted with the
stored values to derive the "true keys* needed to decrypt content.
If this process is also compromised, then object content or methods
would be revealed. Since a backup of secured database 610 is not
ever restored to a PPE 650 in the preferred embodiment without
the intervention of an authorized VDE administrator, a "bogus"
PPE would have to be used to make use of this information.

External communication shared keys are used in the
preferred embodiment in conjunction with a key convolution
algorithm based on site ID and time. If compromised, all of the
steps necessary to allow communications with PPEs 650 must also
be known to take advantage of this knowledge. In addition, at
least one of the administrative object shared keys must be
compromised to gain access to a decrypted permissions record 808.

Compromising an administrative object shared key has no
value unless the "cracker 0 also has knowledge of external

(0064091.01)

•

communication keys. All administrative objects are encrypted by
unique keys exchanged using the shared external communications
keys, site ID and time. Knowledge of PPE 650 internal details
would be necessary to further decrypt the content of
administrative objects.

The private header of a stationary object (or any other
stationary object that uses the same shared key) if compromised,
may provide the attacker with access to content until the shared
key "ages" enough to no longer decrypt the private header.
Neither the private body nor the content of the object is exposed
unless a permissions record 808 for that object is also
compromised. The private headers of these objects may remain
compromised until the key "ages* enough to no longer decrypt the
private header.

Secure database encryption keys in the preferred
embodiment are frequently changing and are also site specific.
The consequences of compromising a secured database 610 file or a
record depends on the information that has been compromised.
For example, permissions record 808 contain keys for the public
body and content of a VDE object 300. If a permissions record 808
is compromised, the aspects of that object protected by the keys
provided by the permissions record are also compromised — if the
algorithm that generates the "true keys* is also known. If a
private body key becomes known, the private body of the object is
compromised until the key "ages 41 and expires. If the "aging"
process for that key is also compromised, the breach is permanent.
Since the private body may contain methods that are shared by a
number of different objects, these methods may also become

(0064091.01)

compromised. When the breach is detected, all administrative
objects that provide budgets and permissions record should update
the compromised methods. Methods stored in secure database 610
are only replaced by more recent versions, so the compromised
version becomes unusable after the update is completed.

If a content key becomes compromised, the portion of the
content encrypted with the key is also compromised until the key
"ages* and expires. If the "aging* process for that key also
becomes compromised, then the breach becomes permanent. If
multiple levels of encryption are used, or portions of the content
are encrypted with different keys, learning a single key would be
insufficient to release some or all of the content.

If an authorization shared secret (e.g., an access tag)
becomes known, the record containing the secret may be modified
by an authorized means if the "cracker" knows how to properly use
the secret. Generally speaking, the external communications keys,
the administrative object keys and the management file keys must
also be "cracked" before a shared secret is useful. Of course, any
detailed knowledge of the protocols would also be required to make
use of this information.

In the preferred embodiment, PPE 650 may detect whether
or not it has become compromised. For example, by comparing
information stored in an SPE 503 (e.g., summary service
information) with information stored in secure database 610 and/or
transmitted to a VDE participant (e.g., a VDE clearinghouse),
discrepancies may become evident. If PPE 650 (or a VDE
administrator watching its activities or communicating with it)

542

(0064091.01)

detects that it has been compromised, it may be updated with an
initialization to use new code, keys and hew encryption/decryption
algorithms. This would limit exposure to VDE objects 300 that
existed at the time the encryption scheme was broken. It is
possible to require the PPE 650 to cease functioning after a certain
period of time unless new code and key downloads occur. It is also
possible to have VDE administrators force updates to occur. It is
also likely that the desire to acquire a new VDE object 300 will
provide an incentive for users to update their PPEs 650 at regular
time intervals.

Finally, the end-to-end nature of VDE applications, in which
content 108 flows in one direction, generating reports and bills 118
in the other, makes it possible to perform "back-end" consistency
checks. Such checks, performed in clearinghouses 116, can detect
patterns of use that may or do indicate fraud (e.g., excessive
acquisition of protected content without any corresponding
payment, usage records without corresponding billing records).
The fine grain of usage reporting and the ready availability of
usage records and reports in electronic form enables sophisticated
fraud detection mechanisms to be built so that fraud-related costs
can be kept to an acceptable level.

PPE Initialization

Each PPE 650 needs to be initialized before it can be used.
Initialization may occur at the manufacturer site, after the PPE
650 has been placed out in the field, or both. The manufacturing
process for PPE 650 typically involves embedding within the PPE
sufficient software that will allow the device to be more completely
initialized at a later time. This manufacturing process may

543

(0064091.01)

include, for example, testing the bootstrap loader and challenge-
response software permanently stored within PPE 650, and
loading the PPE's unique ID. These steps provide a basic VDE-
capable PPE 650 that may be further initialized (e.g., after it has
been installed within an electronic appliance 600 and placed in the
field). In some cases, the manufacturing and further initialization
processes may be combined to produce "VDE ready" PPEs 650.
This description elaborates on the summary presented above with
respect to Figures 64 and 65.

Figure 68 shows an example of steps that may be performed
in accordance with one preferred embodiment to initialize a PPE
650. Some of the steps shown in this flowchart may be performed
at the manufacturing site, and some may be performed remotely
through contact between a VDE administrator and the PPE 650.
Alternatively, all of the steps shown in the diagram may be
performed at the manufacturing site, or all of the steps shown may
be performed through remote communications between the
PPE 500 and a VDE administrator.

If the initialization process 1370 is being performed at the
manufacturer, PPE 650 may first be attached to a testbed. The
manufacturing testbed may first reset the PPE 650 (e.g., with a
power on clear) (Block 1372). If this reset is being performed at
the manufacturer, then the PPE 650 preferably executes a special
testbed bootstrap code that completely tests the PPE operation
from a software standpoint and fails if something is wrong with
the PPE. A secure communications exchange may then be
established between the manufacturing testbed and the PPE 650
using an initial challenge-response interaction (Block 1374) that is

544

(0064091.01)

preferably provided as part of the testbed bootstrap process. Once
this secure communications has been established, the PPE 650
may report the results of the bootstrap tests it has performed to
the manufacturing testbed. Assuming the PPE 6c 0 has tested
successfully, the manufacturing testbed may download new code
into the PPE 650 to update its internal bootstrap code (Block
1376) so that it does not go through the testbed bootstrap process
upon subsequent resets (Block 1376). The manufacturing testbed
may then load new firmware into the PPE internal non-volatile
memory in order to provide additional standard and/or customized
capabilities (Block 1378). For example, the manufacturing testbed
may preload PPE 650 with the load modules appropriate for the
particular manufacturing lot. This step permits the PPE 500 to be
customized at the factory for specific applications.

The manufacturing testbed may next load a unique device
ID into PPE 650 (Block 1380). PPE 650 now carries a unique ID
that can be used for further interactions.

Blocks 1372-1380R typically are, in the preferred
embodiment, performed at the manufacturing site. Blocks 1374
and 1382-1388 may be performed either at the manufacturing site,
after the PPE 650 has been deployed, or both.

To further initialize PPE 650, once a secure communications
has been established between the PPE and the manufacturing
testbed or a VDE administrator (Block 1374), any required keys,
tags or certificates are loaded into PPE 650 (Block 1382). For
example, the manufacturing test bed may load its information into
PPE 650 so the PPE may be initialized at a later time. Some of

545

(0064091.01)

these values may be generated internally within PPE 650. The
manufacturing testbed or VDE administrator may then initialize
the PPE real time clock 528 to the current real time value (Block
1384). This provides a time and date reference for the PPE 650.
The manufacturing testbed or the VDE administrator may next
initialize the summary values maintained internally to the
PPE 500 (Block 1386). If the PPE 650 is already installed as part
of an electronic appliance 600, the PPE may at' this point initialize
its secure database 610 (Block 1388).

Figure 69 shows an example of program control steps
performed by PPE 650 as part of a firmware download process
(See Figure 68, Block 1378). The PPE download process is used to
load externally provided firmware and/or data elements into the
PPE. Firmware loads may take two forms: permanent loads for
software that remains resident in the PPE 650; and transient
loads for software that is being loaded for execution. A related
process for storing into the secure database 610 is performed for
elements that have been sent to a VDE electronic appliance 600.

PPE 650 automatically performs several checks to ensure
that firmware being downloaded into the PPE has not been
tampered with, replaced, or substituted before it was loaded. The
download routine 1390 shown in the figure illustrates an example
of such checks. Once the PPE 650 has received a new firmware
item (Block 1392), it may check the item to ensure that it decrypts
properly using the predetermined download or administrative
object key (depending on the source of the element) (decision
Block 1394). If the firmware decrypts properly Cyes a exits to
decision Block 1394), the firmware as check valve may be

(0064091.01)

•

calculated and compared against the check valve stored under the
encryption wrapper of the firmware (decision Block 1396). If the
two check summed values compare favorably ("yes" exit to decision
Block 1396), then the PPE 650 may compare the public and
private header identification tags associated with the firmware to
ensure that the proper firmware was provided and had not been
substituted (step not shown in the figure). Assuming this test also
passes, the PPE 500 may calculate the digital signatures of the
firmware (assuming digital signatures are supported by the PPE
650 and the firmware is "signed") and may check the calculated
signature to ensure that it compares favorably to the digital
signatures under the firmware encryption wrapper (Blocks 1398,
1400). If any of these tests fail, then the download will be aborted
("fail" termination 1401).

Assuming all of the tests described above pass, then PPE
650 determines whether the firmware is to be stored within the
PPE (e.g., an internal non-volatile memory), or whether it is to be
stored in the secure database 610 (decision Block 1402). If the
firmware is to be stored within the PPE ("yes" exit to decision
Block 1402), then the PPE 500 may simply store the information
internally (Block 1404). If the firmware is to be stored within the
secure database 610 Cno" exit to decision Block 1402), then the
firmware may be tagged with a unique PPE-specific tag designed
to prevent record substitution (Block 1406), and the firmware may
then be encrypted using the appropriate secure database key and
released to the secure database 610 (Block 1408).

547

(0064091.01)

Networking SPUs 500 and/or VDE Electronic Appliances 600

In the context of many computers interconnected by a local
or wide area network, it would be possible for one or a few of them
to be VDE electronic appliances 600. For example, a VDE-capable
server might include one or more SPUs 500. This centralized VDE
server could provide all VDE services required within the network
or it can share VDE service with VDE server nodes; that is, it can
perform a few, some, or most VDE service activities. For example,
a user's non-VDE computer could issue a request over the network
for VDE-protected content. In response to the request, the VDE
server could comply by accessing the appropriate VDE object 300,
releasing the requested content and delivering the content over the
network 672 to the requesting user. Such an arrangement would
allow VDE capabilities to be easily integrated into existing
networks without requiring modification or replacement of the
various computers and other devices connected to the networks.

For example, a VDE server having one or more protected
processing environments 650 could communicate over a network
with workstations that do not have a protected processing
environment. The VDE server could perform all secure VDE
processing, and release resulting content and other information to
the workstations on the network. This arrangement would require
no hardware or software modification to the workstations.

However, some applications may require greater security,
flexibility and/or performance that may be obtained by providing
multiple VDE electronic appliances 600 connected to the same
network 672. Because commonly-used local area networks
constitute an insecure channel that may be subject to tampering

(0064091.01)

and/or eavesdropping, it is desirable in most secure applications to
protect the information communicated across the network. It
would be possible to use conventional network security techniques
to protect VDE-released content or other VDE information
communicated across a network 672 between a VDE electronic
appliance 600 and a non-VDE electronic appliance. However,
advantages are obtained by providing multiple networked VDE
electronic appliances 600 within the same system.

As discussed above in connection with Figure 8, multiple
VDE electronic appliances 600 may communicate with one another
over a network 672 or other communications path. Such
networking of VDE electronic appliances 600 can provide
advantages. Advantages include, for example, the possibility of
centralizing VDE resources, storing and/or archiving metering
information on a server VDE and delivering information and
services efficiently across the network 672 to multiple electronic
appliances 600.

For example, in a local area network topology, a "VDE
server" electronic appliance 600 could store VDE-protected
information and make it available to one or more additional
electronic appliances 600 or computers that may communicate
with the server over network 672. As one example, an object
repository 728 storing VDE objects could be maintained at the
centralized server, and each of many networked electronic
appliance 600 users could access the centralized object repository
over the network 672 as needed. When a user needs to access a
particular VDE object 300, her electronic appliance 600 could issue
a request over network 672 to obtain a copy of the object. The

549

(0064091.01)

•

"VDE server" could deliver all or a portion of the requested object
300 in response to the request. Providing such a centralized object
repository 728 would have the advantage of minimizing mass
storage requirements local to each electronic appliance 600
connected to the network 672, eliminate redundant copies of the
same information, ease information management burdens, provide
additional physical and/or other security for particularly important
VDE processes and/or information occurring at the server, where
providing such security at VDE nodes may be commercially
impractical for certain business models, etc.

It may also be desirable to centralize secure database 610 in
a local area network topology. For example, in the context of a
local area network, a secure database 610 server could be provided
at a centralized location. Each of several electronic appliances 600
connected to a local area network 672 could issue requests for
secure database 610 records over the network, and receive those
records via the network. The records could be provided over the
network in encrypted form. "Keys" needed to decrypt the records
could be shared by transmitting them across the network in secure
communication exchanges. Centralizing secure database 610 in a
network 672 has potential advantages of minimizing or
eliminating secondary storage and/or other memory requirements
for each of the networked electronic appliances 600, avoiding
redundant information storage, allowing centralized backup
services to be provided, easing information management burdens,
etc.

One way to inexpensively and conveniently deploy multiple
instances of VDE electronic appliances 600 across a network would

550

(0064091.01)

be to provide network workstations with software defining an HPE
655. This arrangement requires no hardware modification of the
workstations; an HPE 655 can be defined using software only. An
SPE(s) 503 and/or HPE(s) 655 could also be provided within a
VDE server. This arrangement has the advantage of allowing
distributed VDE network processing without requiring
workstations to be customized or modified (except for loading a
new program(s) into them). VDE functions requiring high levels of
security may be restricted to an SPU-based VDE server. "Secure"
HPE-based workstations could perform VDE functions requiring
less security, and could also coordinate their activities with the
VDE server.

Thus, it may be advantageous to provide multiple VDE
electronic appliances 600 within the same network. It may also be
advantageous to provide multiple VDE electronic appliances 600
within the same workstation or other electronic appliance 600.
For example, an electronic appliance 600 may include multiple
electronic appliances 600 each of which have a SPU 500 and are
capable of performing VDE functions.

For example, one or more VDE electronic appliances 600 can
be used as input/output device(s) of a computer system. This may
eliminate the need to decrypt information in one device and then
move it in unencrypted form across some bus or other unsecured
channel to another device such as a peripheral. If the peripheral
device itself is a VDE electronic appliance 600 having a SPU 500,
VDE-protected information may be securely sent to the peripheral
across the insecure channel for processing (e.g., decryption) at the
peripheral device. Giving the peripheral device the capability of

551

(0064091.01)

handling VDE-protected information directly also increases
flexibility. For example, the VDE electronic appliance 600
peripheral device may control VDE object 300 usage. It may, for
example, meter the usage o* other parameters associated with the
information it processes, and it may gather audit trials and other
information specific to the processing it performs in order to
provide greater information gathering about VDE object usage.
Providing multiple cooperating VDE electronic appliances 600 may
also increase performance by eliminating the need to move
encrypted information to a VDE electronic appliance 600 and then
move it again in unencrypted form to a non-VDE device. The
VDE-protected information can be moved directly to its destination
device which, if VDE-capable, may directly process it without
requiring involvement by some other VDE electronic appliance

Figure 70 shows an example of an arrangement 2630
comprising multiple VDE electronic appliances 600(1), 600(2),
600(3), . . . , 600(N). VDE electronic appliances 600(1) . . . 600(N)
may communicate with one another over a communications path
2631 (e.g., the system bus of a work station, a telephone or other
wire, a cable, a backplane, a network 672, or any other
communications mechanism). Each of the electronic appliances
600 shown in the figure may have the same general architecture
shown in Figure 8, i.e., they may each include a CPU (or
microcontroller) 654, SPU 500, RAM 656, ROM 658, and system
bus 653. Each of the electronic appliances 600 shown in the figure
may have an interface/controller 2632 (which may be considered to
be a particular kind of I/O controller 660 and/or communications
controller 666 shown in Figure 8). This interface/controller 2632

600.

552

(0064091.01)

provides an interface between the electronic appliance system bus
653 and an appropriate electrical connector 2634. Electrical
connectors 2634 of each of the respective electronic appliances
600(1), . . . 600(N) provide a connection to a common network 672
or other communication paths.

Although each of electronic appliances 600 shown in the
figure may have a generally similar architecture, they may
perform different specialized tasks. For example, electronic
appliance 600(1) might comprise a central processing section of a
workstation responsible for managing the overall operation of the
workstation and providing computation resources. Electronic
appliance 600(2) might be a mass storage device 620 for the same
workstation, and could provide a storage mechanism 2636 that
might, for example, read information from and write information
to a secondary storage device 652. Electronic appliance 600(3)
might be a display device 614 responsible for performing display
tasks, and could provide a displaying mechanism 2638 such as a
graphics controller and associated video or other display.
Electronic appliance 600(N) might be a printer 622 that performs
printing related tasks and could include, for example, a print
mechanism 2640.

Each of electronic appliances 600(1), . . . 600(N) could
comprise a different module of the same workstation device all
contained within a common housing, or the different electronic
appliances could be located within different system components.
For example, electronic appliance 600(2) could be disposed within
a disk controller unit, electronic appliance 600(3) could be disposed
within a display device 614 housing, and the electronic appliance

553

(0064091.01)

600(N) could be disposed within the housing of a printer 622.
Referring back to Figure 7, scanner 626, modem 618,
telecommunication means 624, keyboard 612 and/or voice
recognition box 613 could each comprise a VDE electronic
appliance 600 having its own SPU 500. Additional examples
include RF or otherwise wireless interface controller, a serial
interface controller, LAN controllers, MPEG (video) controllers,
etc.

Because electronic appliances 600(1) . . . 600(N) are each
VDE-capable, they each have the ability to perform encryption
and/or decryption of VDE-protected information. This means that
information communicated across network 672 or other
communications path 2631 connecting the electronic appliances
can be VDE-protected (e.g., it may be packaged in the form of VDE
administrative and/or content objects and encrypted as discussed
above). One of the consequences of this arrangement is that an
eavesdropper who taps into communications path 2631 will not be
able obtain information except in VDE-protected form. For
example, information generated by electronic appliance 600 (1) to
be printed could be packaged in a VDE content object 300 and
transmitted over path 2631 to electronic appliance 600 (N) for
printing. An attacker would gain little benefit from intercepting
this information since it is transmitted in protected form; she
would have to compromise electronic appliance 600(1) or 600(N)
(or the SPU 500(1), 500(N)) in order to access this information in
unprotected form.

Another advantage provided by the arrangement shown in
the diagram is that each of electronic appliances 600(1), . . . 600(N)

554

(0064091.01)

may perform their own metering, control and/or other VDE-related
functions. For example, electronic appliance 600(N) may meter
and/or perform any other VDE control functions related to the
information to be printed, electronic appliance 600(3) may meter
and/or perform any other VDE control functions related to the
information to be displayed, electronic appliance 600(2) may meter
and/or perform any other VDE control functions related to the
information to be stored and/or retrieved from mass storage 620,
and electronic appliance 600(1) may meter and/or perform any
other VDE control functions related to the information it
processes.

In one specific arrangement, each of electronic appliances
600(1), . . . 600(N) would receive a command that indicates that
the information received by or sent to the electronic appliance is to
use its SPU 500 to process the information to follow. For example,
electronic appliance 600(N) might receive a command that
indicates that information it is about to receive for printing is in
VDE-protected form (or the information that is sent to it may itself
indicate this). Upon receiving this command or other information,
electronic appliance 600(N) may decrypt the received information
using SPU 500, and might also meter the information the SPU
provides to the print mechanism 2644 for printing. An additional
command might be sent to electronic appliance 600(N) to disable
the decryption process or 600(N)'s VDE secure subsystem may
determine that the information should not be decrypted and/or
printed. Additional commands, for example, may exist to load
encryption/decryption keys, load limits," establish "fingerprinting*
requirements, and read metered usage. These additional
commands may be sent in encrypted or unencrypted form as appropriate.

(0064091.01)

Suppose, for example, that electronic appliance 600(1)
produces information it wishes to have printed by a VDE-capable
printer 622. SPU 500(1) could establish a secure communications
across path 2631 with SPU 500(N) to provide a command
instructing SPU 500(N) to decrypt the next block of data and store
it as a decryption key and a limit. SPU 500(1) might then send a
further command to SPU 500(N) to use the decryption key and
associated limit to process any following encrypted print stream
(or this command could be sent by CPU 654(1) to microcontroller
654(N)). Electronic appliance 600(1) could then begin sending
encrypted information on path 672 for decryption and printing by
printer 622. Upon receipt of each new block of information by
printer 622, SPU 500(N) might first check to ensure that the limit
is greater than zero. SPU 500(N) could then increment a usage
meter value it maintains, and decrement the limit value. If the
limit value is non-zero, SPU 500(N) could decrypt the information
it has received and provide it to print mechanism 2640 for
printing. If the limit is zero, then SPU 500(N) would not send the
received information to the print mechanism 2640, nor would it
decrypt it. Upon receipt of a command to stop, printer 622 could
revert to a "non-secure" mode in which it would print everything
received by it across path 2631 without permitting VDE
processing.

The SPU 500(N) associated with printer 622 need not
necessarily be disposed within the housing of the printer, but could
instead be placed within an I/O controller 660 for example (see
Figure 8). This would allow at least some of the advantages
similar to the ones discussed above to be provided without
requiring a special VDE-capable printer 622. Alternatively, a SPU

556

(0064091.01)

500(N) could be provided both within printer 622 and within I/O
controller 660 communicating with the printer to provide
advantages in terms of coordinating I/O control and relieving
processing burdens from the SPU 500 associated with the central
processing electronic appliance 600(1). When multiple VDE
instances occur within an electronic appliance, one or more VDE
secure subsystems may be "central" subsystems, that is
"secondary* VDE instances may pass encrypted usage related
information to one or more central secure subsystems so as to
allow said central subsystem to directly control storage of said
usage related information. Certain control information may also
be centrally stored by a central subsystem and all or a portion of
such information may be securely provided to the secondary secure
subsystem upon its secure VDE request.

Portable Electronic Appliance

Electronic appliance 600 provided by the present invention
may be portable. Figure 71 shows one example of a portable
electronic appliance 2600. Portable appliance 2600 may include a
portable housing 2602 that may be about the size of a credit card
in one example. Housing 2602 may connect to the outside world
through, for example, an electrical connector 2604 having one or
more electrical contact pins (not shown). Connector 2604 may
electrically connect an external bus interface 2606 internal to
housing 2602 to a mating connector 2604a of a host system 2608.
External bus interface 2606 may, for example, comprise a
PCMCIA (or other standard) bus interface to allow portable
appliance 2600 to interface with and communicate over a bus 2607
of host system 2608. Host 2608 may, for example, be almost any
device imaginable, such as a computer, a pay telephone, another

(0064091.01)

VDE electronic appliance 600, a television, an arcade video game,
or a washing machine, to name a few examples.

Housing 2602 may be tamper resistant. (See discusson
above relating to tamper resistance of SPU barrier 502.)

Portable appliance 2600 in the preferred embodiment
includes one or more SPUs 500 that may be disposed within
housing 2602. SPU 500 may be connected to external bus
interface 2606 by a bus 2610 internal to housing 2602. SPU 500
communicates with host 2608 (through external bus interface
2606) over this internal bus 2610.

SPU 500 may be powered by a battery 2612 or other
portable power supply that is preferably disposed within housing
2602. Battery 2612 may be, for example, a miniature battery of
the type found in watches or credit card sized calculators. Battery
2612 may be supplemented (or replaced) by solar cells,
rechargeable batteries, capacitive storage cells, etc.

A random access memory (RAM) 2614 is preferably provided
within housing 2602. RAM 2614 may be connected to SPU 500
and not directly connected to bus 2610, so that the contents of
RAM 2614 may be accessed only by the SPU and not by host 2608
(except through and as permitted by the SPU). Looking at Figure
9 for a moment, RAM 2614 may be part of RAM 534 within the
SPU 500, although it need not necessarily be contained within the
same integrated circuit or other package that houses the rest of
the SPU.

558

(0064091.01)

•

Portable appliance 2600 RAM 534 may contain, for example,
information which can be used to uniquely identify each instance
of the portable appliance. This information may be employed (e.g.
as at least a portion of key or password information) in
authentication, verification, decryption, and/or encryption
processes.

Portable appliance 2600 may, in one embodiment, comprise
means to perform substantially all of the functions of a VDE
electronic appliance 600. Thus, for example, portable appliance
2600 may include the means for storing and using permissions,
methods, keys, programs, and/or other information, and can be
capable of operating as a "stand alone" VDE node.

In a further embodiment, portable appliance 2600 may
perform preferred embodiment VDE functions once it has been
coupled to an additional external electronic appliance 600. Certain
information, such as database management permission(s),
method(s), key(s), and/or other important information (such as at
least a portion of other VDE programs: administrative,
user-interface, analysis, etc.) may be stored (for example as
records) at an external VDE electronic appliance 600 that may
share information with portable appliance 2600.

One possible "stand alone 0 configuration for
tamper-resistant, portable appliance 2600 arrangements includes a
tamper-resistant package (housing 2602) containing one or more
processors (500, 2616) and/or other computing devices and/or other
control logic, along with random-access-memory 2614. Processors
500, 2616 may execute permissions and methods wholly (or at

559

(0064091.01)

least in part) within the portable appliance 2600. The portable
appliance 2600 may have the ability to encrypt information before
the information is communicated outside of the housing 2602
and/or decrypt received information when said received
information is received from outside of the housing. This version
would also possess the ability to store at least a portion of
permission, method, and/or key information securely within said
tamper resistant portable housing 2602 on non-volatile memory.

Another version of portable appliance 2600 may obtain
permissions and/or methods and/or keys from a local VDE
electronic appliance 600 external to the portable appliance 2600 to
control, limit, or otherwise manage a user's use of a VDE protected
object. Such a portable appliance 600 may be contained within,
received by, installed in, or directly connected to, another
electronic appliance 2600.

One example of a "minimal* configuration of portable
appliance 2600 would include only SPU 500 and battery 2612
within housing 2602 (the external bus interface 2606 and the RAM
2614 would in this case each be incorporated into the SPU block
shown in the Figure). In other, enhanced examples of portable
appliance 2600, any or all of the following optional components
may also be included within housing 2602:

one or more CPUs 2616 (with associated support

components such as RAM-ROM 2617, I/O controllers
(not shown), etc.);
one or more display devices 2618;
one or more keypads or other user input buttons/control
information 2620;

560

(0064091.01)

one or more removable/replaceable memory device(s) 2622;
and

one or more printing device(s) 2624.

In such more enhanced versions, the display 2618, keypad 2620,
memory device 2622 and printer 2624 may be connected to bus
2610, or they might be connected to CPU 2616 through an I/O
port/controller portion (not shown) of the CPU, Display 2618 may
be used to display information from SPU 500, CPU 2616 and/or
host 2608. Keypad 2620 may be used to input information to SPU
500, CPU 2616 and/or host 2608. Printer 2624 may be used to
print information from any/all of these sources.
Removable/replaceable memory 2622 may comprise a memory
cartridge or memory medium such as a bulk storage device, for
providing additional long-term or short-term storage. Memory
2622 may be easily removable from housing 2602 if desired.

In one example embodiment, portable appliance 2600 may
have the form factor of a "smart card" (although a "smart card"
form factor may provide certain advantages, housing 2602 may
have the same or different form factor as "conventional" smart
cards). Alternatively, such a portable electronic appliance 2600
may, for example, be packaged in a PCMCIA card configuration (or
the like) which is currently becoming quite popular on personal
computers and is predicted to become common for desk-top
computing devices and Personal Digital Assistants. One
advantageous form factor for the portable electronic appliance
housing 2602 may be, for example, a Type 1, 2, or 3 PCMCIA card
(or other derivations) having credit card or somewhat larger
dimensions. Such a form factor is conveniently portable, and may

561

(0064091.01)

be insertable into a wide array of computers and consumer
appliances, as well as receptacles at commercial establishments
such as retail establishments and banks, and at public
communications points, such as telephone or other
telecommunication "booths."

Housing 2602 may be insertable into and removable from a
port, slot or other receptacle provided by host 2608 so as to be
physically (or otherwise operatively) connected to a computer or
other electronic appliance. The portable appliance connector 2604
may be configured to allow easy removability so that appliance
2600 may be moved to another computer or other electronic
appliance at a different location for a physical connection or other
operative connection with that other device.

Portable electronic appliance 2600 may provide a valuable
and relatively simple means for a user to move permissions and
methods between their (compatible) various electronic appliances
600, such as between a notebook computer, a desktop computer
and an office computer. It could also be used, for example, to
allow a consumer to visit a next door neighbor and allow that
neighbor to watch a movie that the consumer had acquired a
license to view, or perhaps to listen to an audio record on a large
capacity optical disk that the consumer had licensed for unlimited
plays.

Portable electronic appliance 2600 may also serve as a
"smart card" for financial and other transactions for users to
employ in a variety of other applications such as, for example,
commercial applications. The portable electronic appliance 2600

gg2 (0064091.01)

may, for example, carry permission and/or method information
used to authorize (and possibly record) commercial processes and
services.

An advantage of using the preferred embodiment VDE
portable appliance 2600 for financial transactions such as those
typically performed by banks and credit card companies is that
VDE allows financial clearinghouses (such as VISA, MasterCard,
or American Express) to experience significant reductions in
operating costs. The clearinghouse reduction in costs result from
the fact that the local metering and budget management that
occurs at the user site through the use of a VDE electronic
appliance 600 such as portable appliance 2600 frees the
clearinghouse from being involved in every transaction. In
contrast to current requirements, clearinghouses will be able to
perform their functions by periodically updating their records
(such as once a month). Audit and/or budget "roll-ups" may occur
during a connection initiated to communicate such audit and/or
budget information and/or through a connection that can occur at
periodic or relatively periodic intervals and/or during a credit
updating, purchasing, or other portable appliance 2600
transaction.

Clearinghouse VDE digital distribution transactions would
require only occasional authorization and/or audit or other
administrative "roll-ups" to the central service, rather than far
more costly connections during each session. Since there would be
no requirement for the maintenance of a credit card purchase
"paper trail" (the authorization and then forwarding of the credit
card slip), there could be substantial cost reductions for

(0064091.01)

clearinghouses (and, potentially, lower costs to users) due to
reduction in communication costs, facilities to handle concurrent
processing of information, and paper handling aspects of
transaction processing costs. This use of a portable appliance 2600
would allow credit enforcement to exploit distributed processing
employing the computing capability in each VDE electronic
appliance 600. These credit cost and processing advantages may
also apply to the use of non-smart card and non-portable VDE
electronic appliance 600s.

Since VDE 100 may be configured as a highly secure
commercial environment, and since the authentication processes
supported by VDE employ digital signature processes which
provide a legal validation that should be equivalent to paper
documentation and handwritten signatures, the need for portable
appliance 2600 to maintain paper trails, even for more costly
transactions, is eliminated. Since auditable billing and control
mechanisms are built into VDE 100 and automated, they may
replace traditional electronic interfaces to VISA, Master Card,
AMEX, and bank debit accounts for digitally distributed other
products and services, and may save substantial operating costs
for such clearinghouses.

Portable appliance 2600 may, if desired, maintain for a
consumer a portable electronic history. The portable history can
be, for example, moved to an electronic "dock* or other receptacle,
in or operatively connected to, a computer or other consumer host
appliance 2608. Host appliance 2608 could be, for example, an
electronic organizer that has control logic at least in part in the
form of a microcomputer and that stores information in an

(0064091.01)

information or alternatively by printing a hard copy receipt using
printer 2624. This process of categorization may take place in the.
portable appliance 2600 or, alternatively, it could be performed by
the retail establishment and periodically "rolled-up" and
communicated to the portable appliance 2600 holder.

Retail, clearinghouse, or other commercial organizations
may maintain and use by securely communicating to appliance
2600 one or more of generic classifications of transaction types (for
example, as specified by government taxation rules) that can be
used to automate the parsing of information into records and/or for
database information "roll-ups" for; and/or in portable appliance
2600 or one or more associated VDE nodes. In such instances,
host 2608 may comprise an auxiliary terminal, for example, or it
could comprise or be incorporated directly within a commercial
establishments cash registers or other retail transactions devices.
The auxiliary terminal could be menu and/or icon driven, and
allow very easy user selection of categorization. It could also
provide templates, based on transaction type, that could guide the
user through specifying useful or required transaction specific
information (for example, purpose for a business dinner and/or
who attended the dinner). For example, a user might select a
business icon, then select from travel, sales, meals, aclministration,
or purchasing icons for example, and then might enter in very
specific information and/or a key word, or other code that might
cause the downloading of a transaction's detail into the portable
appliance 2600. This information might also be stored by the
commercial establishment, and might also be communicated to the
appropriate government and/or business organizations for
validation of the reported transactions (the high level of security of

(0064091.01)

auditing and communications and authentication and validation of
VDE should be sufficiently trusted so as not to require the
maintenance of a parallel audit history, but parallel maintenance
may be supported, and maintained at least for a limited period of
time so as to provide backup information in the event of loss or
"failure" of portable appliance 2600 and/or one or more appliance
2600 associated VDE installations employed by appliance 2600 for
historical and/or status information record maintenance). For
example, of a retail terminal maintained necessary transaction
information concerning a transaction involving appliance 2600, it
could communicate such information to a clearinghouse for
archiving (and/or other action) or it could periodically, for example,
at the end of a business day, securely communicate such
information, for example, in the form of a VDE content container
object, to a clearinghouse or clearinghouse agent. Such
transaction history (and any required VDE related status
information such as available credit) can be maintained and if
necessary, employed to reconstruct the information in a portable
appliance 2600 so as to allow a replacement appliance to be
provided to an appliance 2600 user or properly reset internal
information in data wherein such replacement and/or resetting
provides all necessary transaction and status information.

In a retail establishment, the auxiliary terminal host 2608
might take the form of a portable device presented to the user, for
example at the end of a meal. The user might place his portable
appliance 2600 into a smart card receptacle such as a PCMCIA
slot, and then enter whatever additional information that might
appropriately describe the transaction as well as satisfying
whatever electronic appliance 600 identification procedure(s)

(0064091.01)

organized manner, e.g., according to tax and/or other transaction
categories (such as type of use or activity). By use of this
arrangement, the consumer no longer has to maintain receipts or
otherwise manually track transactions but nevertheless can
maintain an electronic, highly secure audit trail of transactions
and transaction descriptions. The transaction descriptions may,
for example, securely include the user's digital signature, and
optionally, the service or goods provider's digital signature.

When a portable appliance 2600 is "docked" to a host 2608
such as a personal computer or other electronic appliance (such as
an electronic organizer), the portable appliance 2600 could
communicate interim audit information to the host. In one
embodiment, this information could be read, directly or indirectly,
into a computer or electronic organizer money and/or tax
management program (for example, Quicken or Microsoft Money
and/or Turbo Tax and/or Andrew Tobias* Managing Your Money).
This automation of receipt management would be an enormous
boon to consumers, since the management and maintenance of
receipts is difficult and time-consuming, receipts are often lost or
forgotten, and the detail from credit card billings is often wholly
inadequate for billing and reimbursement purposes since credit
card billings normally don't provide sufficient data on the
purchased items or significant transaction parameters.

In one embodiment, the portable appliance 2600 could
support secure (in this instance encrypted and/or authenticated)
two-way communications with a retail terminal which may contain
a VDE electronic appliance 600 or communicate with a retailer's or
third party provider's VDE electronic appliance 600. During such

565

(0064091.01)

a secure two-way communication between, for example, each
participant's secure VDE subsystem, portable appliance 2600 VDE
secure subsystem may provide authentication and appropriate
credit or debit card information to the retail terminal VDE secure
subsystem. During the same or different communication session,
the terminal could similarly, securely communicate back to the
portable appliance 2600 VDE secure subsystem details as to the
retail transaction (for example, what was purchased and price, the
retail establishment's digital signature, the retail terminal's
identifier, tax related information, etc.).

For example, a host 2608 receptacle for receiving and/or
attaching to portable appliance 2600 could be incorporated into or
operatively connected to, a retail or other commercial
establishment terminal. The host terminal 2608 could be operated
by either a commercial establishment employee or by the portable
appliance 2600 holder. It could be used to, for example, input
specific keyboard and/or voice input specific information such as
who was taken to dinner, why something was purchased, or the
category that the information should be attached to. Information
could then be automatically "parsed" and routed into securely
maintained (for example, encrypted) appropriate database
management records within portable appliance 2600. Said
"parsing" and routing would be securely controlled by VDE secure
subsystem processes and could, for example, be based on category
information entered in by the user and/or based on class of
establishment and/or type (category) of expenditure information
(or other use). Categorization can be provided by the retail
establishment, for example, by securely communicating electronic
category information as a portion, for example, of electronic receipt

566

(0064091.01)

required. The transaction, given the availability of sufficient
credit, would be approved, and transaction related information
would then be communicated back from the auxiliary terminal
directly into the portable appliance 2600. This would be a highly
convenient mode of credit usage and record management.

The portable device auxiliary terminal might be "on-line,"
that is electronically communicating back to a -commercial
establishment and/or third party information collection point
through the use of cellular, satellite, radio frequency, or other
communications means. The auxiliary terminal might, after a
check by a commercial party in response to receipt of certain
identification information at the collection point, communicate
back to the auxiliary terminal whether or not to accept the
portable appliance 2600 based on other information, such as a bad
credit record or a stolen portable appliance 2600. Such a portable
auxiliary terminal would also be very useful at other commercial
establishments, for example at gasoline stations, rental car return
areas, street and stadium vendors, bars, and other commercial
establishments where efficiency would be optimized by allowing
clerks and other personnel to consummate transactions at points
other than traditional cash register locations.

As mentioned above, portable appliance 2600 may
communicate from time to time with other electronic appliances
600 such as, for example, a VDE administrator. Communication
during a portable appliance 2600 usage session may result from
internally stored parameters dictating that the connection should
take place during that current session (or next or other session) of
use of the portable appliance. The portable appliance 600 can

569

(0064091.01)

carry information concerning a real-time date or window of time or
duration of time that will, when appropriate, require the
communication to take place (e.g., perhaps before the transaction
or other process which has been contemplated by the user for that
session or during it or immediately following it). Such a
communication can be accomplished quickly, and could be a
secure, VDE two-way communication during which information is
communicated to a central information handler. Certain other
information may be communicated to the portable appliance 2600
and/or the computer or other electronic appliance to which the
portable appliance 2600 has been connected. Such communicated
other information can enable or prevent a contemplated process
from proceeding, and/or make the portable appliance 2600, at least
in part, unusable or useable. Information communicated to the
portable appliance 2600 could include one or more modifications to
permissions and methods, such as a resetting or increasing of one
or more budgets, adding or withdrawing certain permissions, etc.

The permissions and/or methods (i.e., budgets) carried by the
portable appliance 2600 may have been assigned to it in
conjunction with an "encumbering" of another, stationary or other
portable VDE electronic appliance 600. In one example, a portable
appliance 2600 holder or other VDE electronic appliance 600
and/or VDE electronic appliance 600 user could act as "guarantor"
of the financial aspects of a transaction performed by another
party. The portable appliance 2600 of the holder would record an
"encumbrance," which may be, during a secure communication
with a clearinghouse, be recorded and mai n tai n ed by the
clearinghouse and/or some other financial services parly until all
or a portion of debt responsibilities of the other party were paid or

570

(0064091.01)

otherwise satisfied. Alternatively or in addition, the encumbrance
may also be maintained within the portable appliance 2600,
representing the contingent obligation of the guarantor. The
encumbrance may be, by some formula, included in a
determination of the credit available to the guarantor. The credit
transfer, acceptance, and/or record management, and related
processes, may be securely maintained by the security features
provided by aspects of the present invention. Portable appliance
600 may be the sole location for said permissions and/or methods
for one or more VDE objects 300, or it may carry budgets for said
objects that are independent of budgets for said objects that are
found on another, non-portable VDE electronic appliance 600.
This may allow budgets, for example, to be portable, without
requiring "encumbering" and budget reconciliation.

Portable VDE electronic appliance 2600 may cany (as may
other VDE electronic appliance 600s described) information
describing credit history details, summary of authorizations, and
usage history information (e.g., audit of some degree of transaction
history or related summary information such as the use of a
certain type/class of information) that allows re-use of certain VDE
protected information at no cost or at a reduced cost. Such usage
or cost of usage may be contingent, at least in part, on previous
use of one or more objects or class of objects or amount of use, etc.,
of VDE protected information.

Portable appliance 2600 may also carry certain information
which may be used, at least in part, for identification purposes.
This information may be employed in a certain order (e.g. a
pattern such as, for example, based on a pseudo-random

571 (0064091.01)

algorithm) to verify the identity of the carrier of the portable
appliance 2600. Such information may include, for example, one's
own or a wife's and/or other relatives maiden names, social
security number or numbers of one's own and/or others, birth
dates, birth hospital(s), and other identifying information. It may
also or alternatively provide or include one or more passwords or
other information used to identify or otherwise verify/authenticate
an individual's identity, such as voice print and retinal scan
information. For example, a portable appliance 2600 can be used
as a smart card that carries various permissions and/or method
information for authorizations and budgets. This information can
be stored securely within portable appliance 2600 in a secure
database 610 arrangement. When a user attempts to purchase or
license an electronic product or otherwise use the "smart card" to
authorize a process, portable appliance 2600 may quexy the user
for identification information or may initiate an identification
process employing scanned or otherwise entered information (such
as user fingerprint, retinal or voice analysis or other techniques
that may, for example, employ mapping and/or matching of
provided characteristics to information securely stored within the
portable appliance 2600). The portable appliance 2600 may
employ different queries at different times (and/or may present a
plurality of queries or requests for scanning or otherwise entering
identifying information) so as to prevent an individual who has
come into possession of appropriate information for one or more of
the "tests" of identity from being able to successfully employ the
portable appliance 2600.

A portable appliance 600 could also have the ability to
transfer electronic currency or credit to another portable appliance

572

(0064091.01)

2600 or to another individual's account, for example, using secure
VDE communication of relevant content between secure VDE
subsystems. Such transfer may be accomplished, for example, by
telecommunication to, or presentation at, a bank which can
transfer credit and/or currency to the other account. The transfer
could also occur by using two cards at the same portable appliance
2600 docking station. For example, a credit transaction
workstation could include dual PCMCIA slots and appropriate
credit and/or currency transfer application software which allows
securely debiting one portable appliance 2600 and "crediting"
another portable appliance (i.e., debiting from one appliance can
occur upon issuing a corresponding credit and/or currency to the
other appliance). One portable appliance 600, for example, could
provide an authenticated credit to another user. Employing two
"smart card" portable appliance 600 would enable the user of the
providing of "credit" "smart card" to go through a transaction
process in which said user provides proper identification (for
example, a password) and identifies a "public key" identifying
another "smart card" portable appliance 2600. The other portable
appliance 2600 could use acceptance processes, and provide proper
identification for a digital signature (and the credit and/or
currency sender may also digitally sign a transaction certificate so
the sending act may not be repudiated and this certificate may
accompany the credit and/or currency as VDE container content.
The transactions may involve, for example, user interface
interaction that stipulates interest and/or other terms of the
transfer. It may employ templates for common transaction types
where the provider of the credit is queried as to certain
parameters describing the agreement between the parties. The
receiving portable appliance 2600 may iteratively or as a whole be

573

(0064091.01)

queried as to the acceptance of the terms. VDE negotiation
techniques described elsewhere in this application may be
employed in a smart card transfer of electronic credit and/or
currency to another VDE smart card or other VDE installation.

Such VDE electronic appliance 600/portable appliance 2600
credit transfer features would significantly reduce the overhead
cost of managing certain electronic credit and/or currency activities
by significantly automating these processes through extending the
computerization of credit control and credit availability that was
begun with credit cards and extended with debit cards. The
automation of credit extension and/or currency transfer and the
associated distributed processing advantages described, including
the absence of any requirement for centralized processing and
telecommunications during each transaction, truly make credit
and/or currency, for many consumers and other electronic currency
and/or credit users, an efficient, trusted, and portable commodity.

The portable appliance 2600 or other VDE electronic
appliance 600, can, in one embodiment, also automate many tax
collection functions. A VDE electronic appliance 600 may, with
great security, record financial transactions, identify the nature of
the transaction, and identify the required sales or related
government transaction taxes, debit the taxes from the users
available credit, and securely communicate this information to one
or more government agencies directly at some interval (for
example monthly), and/or securely transfer this information to, for
example, a financial clearinghouse, which would then transfer one
or more secure, encrypted (or unsecure, calculated by
clearinghouse, or otherwise computed) information audit packets

(0064091.01)

(e.g. f VDE content containers and employing secure VDE
communication techniques) to the one or more appropriate,
participating government agencies. The overall integrity and
security of VDE 100 could ensure, in a coherent and centralized
manner, that electronic reporting of tax related information
(derived from one or more electronic commerce activities) would be
valid and comprehensive. It could also act as a validating source
of information on the transfer of sales tax collection (e.g., if, for
example, said funds are transferred directly to the government by
a commercial operation and/or transferred in a manner such that
reported tax related information cannot be tampered with by other
parties in a VDE pathway of tax information handling). A
government agency could select transactions randomly, or some
subset or all of the reported transactions for a given commercial
operation can be selected. This could be used to ensure that the
commercial operation is actually paying to the government all
appropriate collected funds required for taxes, and can also ensure
that end-users are charged appropriate taxes for their transactions
(including receipt of interest from bank accounts, investments,
gifts, etc.

Portable appliance 2600 financial and tax processes could
involve template mechanisms described elsewhere herein. While
such an electronic credit and/or currency management capability
would be particularly interesting if managed at least in part,
through the use of a portable appliance 2600, credit and/or
currency transfer and similar features would also be applicable for
non-portable VDE electronic appliance 600's connected to or
installed within a computer or other electronic device.

575

(0064091.01)

User Notification Exception Interface ("Pop Up") 686

As described above, the User Modification Exception
Interface 686 may be a set of user interface programs for handling
common VDE functions. These applications may be forms of VDE
templates and are designed based upon certain assumptions
regarding important options, specifically, appropriate to a certain
VDE user model and important messages that must be reported
given certain events A primary function of the w pop-up a user
interface 686 is to provide a simple, consistent user interface to,
for example, report metering events and exceptions (e.g., any
condition for which automatic processing is either impossible or
arguably undesirable) to the user, to enable the user to configure
certain aspects of the operation of her electronic appliance 600
and, when appropriate, to allow the user to interactively control
whether to proceed with certain transaction processes. If an object
contains an exception handling method, that method will control
how the w pop-up a user interface 686 handles specific classes of
exceptions.

The *pop-user w interface 686 normally enables handling of
tasks not dedicated to specific objects 300, such as for example:

• Logging onto an electronic appliance 600 and/or
entering into a VDE related activity or class of
activities,

• Configuring an electronic appliance 600 for a
registered user, and/or generally for the installation,
with regard to user preferences, and automatic
handling of certain types of exceptions,

576

(0064091.01)

• Where appropriate, user selecting of meters for use
with specific properties, and

• Providing an interface for communications with other
electronic appliances 600, including requesting and/or
for purchasing or leasing content from distributors,
requesting clearinghouse credit and/or budgets from a
clearinghouse, sending and/or receiving information to
and/or from other electronic appliances, and so on.

Figure 72A shows an example of a common "logon" VDE
electronic appliance 600 function that may use user interface 686.
"Log-on" can be done by entering a user name, account name,
and/or password. As shown in the provided example, a
configuration option provided by the "pop-up" user interface 686
dialog can be "Login at Setup", which, if selected, will initiate a
VDE Login procedure automatically eveiy time the user's
electronic appliance 600 is turned on or reset. Similarly, the
"pop-up" user interface 686 could provide an interface option called
"Login at Type" which, if selected, will initiate a procedure
automatically every time, for example, a certain type of object or
specific content type application is opened such as a file in a
certain directory, a computer application or file with a certain
identifying extension, or the like.

Figure 72B shows an example of a "pop-up" user interface
686 dialog that is activated when an action by the user has been
"trapped," in this case to warn the user about the amount of
expense that will be incurred by the user's action, as well as to
alert the user about the object 300 which has been requested and

577

(0064091.01)

what that particular object will cost to use. In this example, the
interface dialog provides a button allowing the user to request
further detailed information about the object, including frill text
descriptions, a list of associated files, nd perhaps a history of past
usage of the object including any residual rights to use the object
or associated discounts.

The "Cancel" button 2660 in Figure 72B cancels the user's
trapped request. "Cancer is the default in this example for this
dialog and can be activated, for example, by the return and enter
keys on the user's keyboard 612, by a "mouse click" on that button,
by voice command, or other command mechanisms. The "Approve
button* 2662, which must be explicitly selected by a mouse click or
other command procedure, allows the user to approve the expense
and proceed. The "More options" control 2664 expands the dialog
to another level of detail which provides further options, an
example of which is shown in Figure 72C.

Figure 72C shows a secondary dialog that is presented to
the user by the "pop-up" user interface 686 when the "More
options" button 2664 in Figure 72B is selected by the user. As
shown, this dialog includes numerous buttons for obtaining further
information and performing various tasks.

In this particular example, the user is permitted to set
"limits" such as, for example, the session dollar limit amount (field
2666), a total transaction dollar limit amount (field 2668), a time
limit (in minutes) (field 2670), and a "unit limit" (in number of
units such as paragraphs, pages, etc.) (field 2672). Once the user
has made her selections, she may "click on" the OKAY button

578

(0064091.01)

(2674) to confirm the limit selections and cause them to take
effect.

Thus, pop-up user interface dialogues can be provided to
specify user preferences, such as setting limits on budgets and/or
other aspects of object content usage during any one session or
over a certain duration of time or until a certain point in time.
Dialogs can also be provided for selecting object related usage
options such as selecting meters and budgets to be used with one
or more objects. Selection of options may be applied to types (that
is classes) of objects by associating the instruction with one or
more identifying parameters related to the desired one or more
types. User specified configuration information can set default
values to be used in various situations, and can be used to limit
the number or type of occasions on which the user's use of an
object is interrupted by a "pop-up" interface 686 dialog. For
example, the user might specify that a user request for VDE
protected content should be automatically processed without
interruption (resulting from an exceptions action) if the requested
processing of information will not cost more than $25.00 and if the
total charge for the entire current session (and/or day and/or week,
etc.) is not greater than $200.00 and if the total outstanding and
unpaid charge for use hasn't exceeded $2500.00.

Pop-up user interface dialogs may also be used to notify the
user about significant conditions and events. For example,
interface 686 may be used to:

• remind the user to send audit information to a
clearinghouse,

579

(0064091.01)

•

• inform a user that a budget value is low and needs
replenishing,

• remind the user to back up secure diabase 610, and

• inform the user about expirations of PERCs or other
dates/times events.

Other important w pop-up a user interface 686 functions
include dialogs which enable flexible browsing through libraries of
properties or objects available for licensing or purchase, either
from locally stored VDE protected objects and/or from one or more
various, remotely located content providers. Such function may be
provided either while the user's computer is connected to a remote
distributor's or clearinghouse's electronic appliance 600, or by
activating an electronic connection to a remote source after a
choice (such as a property, a resource location, or a class of objects
or resources is selected). A browsing interface can allow this
electronic connection to be made automatically upon a user
selection of an item, or the connection itself can be explicitly
activated by the user. See Figure 72D for an example of such a
Tbrowsing* dialog.
Smart Objects

VDE 100 extends its control capabilities and features to
"intelligent agents Generally, an "intelligent agent" can act as
an emissary to allow a process that dispatches it to achieve a
result the originating process specifies. Intelligent agents that are
capable of acting in the absence of their dispatch process are
particularly useful to allow the dispatching process to access,
through its agent, the resources of a remote electronic appliance.

580

(0064091.01)

In such a scenario, the dispatch process may create an agent (e.g.,
a computer program and/or control information associated with a
computer program) specifying a particular desired task(s), and
dispatch the agent to the remote system. Upon reaching the
remote system, the "agent" may perform its assigned task(s) using
the remote system's resources. This allows the dispatch process to,
in effect, extend its capabilities to remote systems where it is not
present.

Using an "agent" in this manner increases flexibility. The
dispatching process can specify, through its agent, a particular
desired task(s) that may not exist or be available on the remote
system. Using such an agent also provides added trustedness; the
dispatch process may only need to "trust" its agent, not the entire
remote system. Agents have additional advantages.

Software agents require a high level of control and
accountability to be effective, safe and useful. Agents in the form
of computer viruses have had devastating effects worldwide.
Therefore, a system that allows an agent to access it should be
able to control it or otherwise prevent the agent from damaging
important resources. In addition, systems allowing themselves to
be accessed by an agent should sufficiently trust the agent and/or
provide mechanisms capable of holding the true dispatcher of the
agent responsible for the agent's activities. Similarly, the
dispatching process should be able to adequately limit and/or
control the authority of the agents it dispatches or else it might
become responsible for unforeseen activities by the agent (e.g., the
agent might run up a huge bill in the course of following imprecise
instructions it was given by the process that dispatched it).

581

(0064091.01)

These significant problems in using software agents have
not be adequately addressed in the past. The open, flexible control
structures provided by VDE 100 addresses these problems by
providing the desired control and accountability for software
agents (e.g., agent objects). For example, VDE 100 positively
controls content access and usage, provides guarantee of payment
for content used, and enforces budget limits for accessed content.
These control capabilities are well suited to controlling the
activities of a dispatched agent by both the process that dispatches
the agent and the resource accessed by the dispatched agent.

One aspect of the preferred embodiment provided by the
present invention provides a "smart object" containing an agent.
Generally, a "smart object" may be a VDE object 300 that contains
some type(s) of software programs ("agents") for use with VDE
control information at a VDE electronic appliance 600. A basic
"smart object" may comprise a VDE object 300 that, for example,
contains (physically and/or virtually):

a software agent, and

at least one rule and/or control associated with the software
agent that governs the agent's operation.
Although this basic structure is sufficient to define a "smart
object," Figure 73 shows a combination of containers and control
information that provides one example of a particularly
advantageous smart object structure for securely managing and
controlling the operation of software agents.

As shown in Figure 73, a smart object 3000 may be
constructed of a container 300, within which is embedded one or
more further containers (300z, 300y, etc.). Container 300 may

(0064091.01)

further contain rules and control information for accessing and
using these embedded containers 300z, 300y, etc. Container 300z
embedded in container 300 is what makes the object 3000 a "smart
object." It contains an "agent" that is managed and controlled by
VDE 100.

The rules and control information 806f associated with
container 300z govern the circumstances under which the agent
may be released and executed at a remote VDE site, including any
limitations on execution based on the cost of execution for
example. This rule and control information may be specified
entirely in container 300z, and/or may be delivered as part of
container 300, as part of another container (either within
container 300 or a separately deliverable container), and/or may be
already present at the remote VDE site.

The second container 300y is optional, and contains content
that describes the locations at which the agent stored in container
300z may be executed. Container 300y may also contain rules and
control information 806e that describe the maimer in which the
contents of container 300y may be used or altered. This rule and
control information 806e and/or further rules 300y(l) also
contained within container 300y may describe searching and
routing mechanisms that may be used to direct the smart object
3000 to a desired remote information resource. Container 300y
may contain and/or reference rules and control information 300y(l)
that specify the manner in which searching and routing
information use and any changes may be paid for.

583

(0064091.01)

Container 300x is an optional content container that is
initially "empty" when the smart object 3000 is dispatched to a
remote site. It contains rules and control information 300x(l) for
storing the content that is retrieved by the execution of the agent
contained in container 300z. Container 300x may also contain
limits on the value of content that is stored in the retrieval
container so as to limit the amount of content that is retrieved.

Other containers in the container 300 may include
administrative objects that contain audit and billing trails that
describe the actions of the agent in container 300z and any
charges incurred for executing an agent at a remote VDE node.
The exact structure of smart object 3000 is dependent upon the
type of agent that is being controlled, the resources it will need for
execution, and the types of information being retrieved.

The smart object 3000 in the example shown in Figure 73
may be used to control and manage the operation of an agent in
VDE 100. The following detailed explanation of an example smart
object transaction shown in Figure 74 may provide a helpful, but
non-limiting illustration. In this particular example, assume a
user is going to create a smart object 3000 that performs a library
search using the "Very Fast and Efficient" software agent to
search for books written about some subject of interest (e.g., "fire
flies"). The search engine is designed to return a list of books to
the user. The search engine in this example may spend no more
than $10:00 to find the appropriate books, may spend no more
than $3.00 in library access or communications charges to get to
the library, and may retrieve no more than $15.00 in information.
All information relating to the search or use is to be returned to

584

(0064091.01)

the user and the user will permit no information pertaining to the
user or the agent to be released to a third party.

In this example, a dispatching VDE electronic appliance
3010 constructs a smart object 3000 like the one shown in Figure
73. The rule set in 806a is specified as a control set that contains
the following elements:

1. a smart_agent_execution event that specifies the
smart agent is stored in embedded container 300z and
has rules controlling its execution specified in that
container;

2. a smart_agent_use event that specifies the smart
agent will operate using information and parameters
stored in container 300;

3. a routing_use event that specifies the information
routing information is stored in container 300y and
has rules controlling this information stored in that
container,

4. an information.write event that specifies information
written will be stored in container 300y, 300x, or 300w
depending on its type (routing, retrieved, or
administrative), and that these containers have
independent rules that control how information is
written into them.

585

(0064091.01)

The rule set in control set 806b contains rules that specify
the rights desired by this smart object 3000. Specifically, this
control set specifies that the software agent desires:

1. A right to use the "agent execution" service on the
remote VDE site. Specific billing and charge
information for this right is carried in container 300z.

2. A right to use the "software description list" service on
the remote VDE site. Specific billing and charge
information for this for this right is carried in
container 300y.

3. A right to use an "information locator service" on a
remote VDE site.

4. A right to have information returned to the user
without charge (charges to be incurred on release of
information and payment will be by a VISA budget)

5. A right to have all audit information returned such
that it is readable only by the sender.

The rule set in control set 806c specifies that container 300w
specifies the handling of all events related to its use. The rule set
in control set 806d specifies that container 300x specifies the
handling of all events related to its use. The rule set in control set
806e specifies that container 300y specifies the handling of all
events related to its use. The rule set in control set 806f specifies

(0064091.01)

that container 300z specifies the handling of all events related to
its use.

Container 300z is specified as containing the "Very Fast and
Efficient" agent content, which is associated with the following
rules set:

1. A use event that specifies a meter and VISA budget
that limits the execution to $10.00 charged against the
owner's VISA card. Audits of usage are required and
will be stored in object 300w under control information
specified in that object.

After container 300z and its set are specified, they are
constructed and embedded in the smart object container 300.

Container 300y is specified as a content object with two
types of content. Content type A is routing information and is
read/write in nature. Content type A is associated with a rules set
that specifies:

1. A use event that specifies no operation for the release
of the content. This has the effect of not charging for
the use of the content.

2. A write event that specifies a meter and a VISA
budget that limits the value of writing to $3.00. The
billing method used by the write is left unspecified
and will be specified by the control method that uses
this rule.

587

(0064091.01)

3. Audits of usage are required and will be stored in

object 300w under control information specified in that
object.

Content type B is information that is used by the software
agent to specify parameters for the agent. This content is
specified as the string "fire fly" or "fire flies". Content type B is
associated with the following rule set:

1. A use event that specifies that the use may only be by
the software agent or a routing agent. The software
agent has read only permission, the routing agent has
read/write access to the information. There are no
charges associated with using the information, but two
meters; one by read and one by write are kept to track
use of the information by various steps in the process.

2. Audits of usage are required and will be stored in
object 300w under control information specified in that
object.

After container 300y and its control sets are specified, they
are constructed and embedded in the smart object container 300.

Container 300x is specified as a content object that is empty
of content. It contains a control set that contains the following
rules:

588

(0064091.01)

1. A write.withoutjbilling event that specifies a meter
and a general budget that limits the value of writing
to $15.00.

2. Audits of usage are required and will be stored in
object 300w under control information specified in that
object.

3. An empty use control set that may be filled in by the
owner of the information using predefined methods
(method options).

After container 300x and its control sets are specified, they
are constructed and embedded in the smart object container 300.

Container 300w is specified as an empty administrative
object with a control set that contains the following rules:

1. A use event that specifies that the information
contained in the administrative object may only be
released to the creator of smart object container 300.

2. No other rules may be attached to the administrative
content in container 300w.

After container 300w and its control sets are specified, they
are constructed and embedded in the smart object container 300.

At this point, the smart object has been constructed and is
ready to be dispatched to a remote VDE site. The smart object is
sent to a remote VDE site (e.g., using electronic mail or another

589

(0064091.01)

transport mechanism) that contains an information locator service
3012 via path 3014. The smart object is registered at the remote
site 3012 for the "item locator service" The control set in
container related to "item locator o;rvice a is selected and the rules
contained within it activated at the remote site 3012. The remote
site 3012 then reads the contents of container 300y under the
control of rule set 806f and 300y(l), and permits writes of a list of
location information into container 300y pursuant to these rules.
The item locator service writes a list of three items into the smart
object, and then "deregisters" the smart object (now containing the
location information) and sends it to a site 3016 specified in the
list written to the smart object via path 3018. In this example, the
user may have specified electronic mail for transport and a list of
remote sites that may have the desired information is stored as a
forwarding list.

The smart object 3000, upon arriving at the second remote
site 3016, is registered with that second site. The site 3016
provides agent execution and software description list services
compatible with VDE as a service to smart objects. It publishes
these services and specifies that it requires $10.00 to start the
agent and $20/piece for all information returned. The registration
process compares the published service information against the
rules stored within the object and determines that an acceptable
overlap does not exist. Audit information for all these activities is
written to the administrative object 300w. The registration
process then fails (the object is not registered), and the smart
object is forwarded by site 3016 to the next VDE site 3020 in the
list via path 3022.

590

(0064091.01)

The smart object 3000, upon arriving at the third remote
site 3020, is registered with that site. The site 3020 provides
agent execution and software description list services compatible
with VDE as a service to smart objects. It publishes these services
and specifies that it requires $1.00 to start the agent and
$0.50/piece for all information returned. The registration process
compares the published service information against the rules
stored within the object and determines that an acceptable overlap
exists. The registration process creates a URT that specifies the
agreed upon control information. This URT is used in conjunction
with the other control information to execute the software agent
under VDE control.

The agent software starts and reads its parameters out of
container 300y. It then starts searching the database and obtains
253 "hits" in the database. The list of hits is written to container
300x along with a completed control set that specifies the
granularity of each item and that each item costs $0.50. Upon
completion of the search, the budget for use of the service is
incremented by $1.00 to reflect the use charge for the service.
Audit information for all these activities is written to the
administrative object 300w.

The remote site 3020 returns the now "full" smart object
3000 back to the original sender (the user) at their VDE node 3010
via path 3024. Upon arrival, the smart object 3000 is registered
and the database records are available. The control information
specified in container 300x is now a mix of the original control
information and the control information specified by the service
regarding remote release of their information. The user then

591

(0064091.01)

extracts 20 records from the smart object 3000 and has $10.00
charged to her VISA budget at the time of extraction.

In the above smart agent VDE examples, a certain
organization of smart object 3000 and its constituent containers is
described. Other organizations of VDE and smart object related
control information and parameter data may be created and may
be used for the same purposes as those ascribed to object 3000 in
the above example.

Negotiation and Electronic Contracts

An electronic contract is an electronic form of an agreement
including rights, restrictions, and obligations of the parties to the
agreement. In many cases, electronic agreements may surround
the use of digitally provided content; for example, a license to view
a digitally distributed movie. It is not required, however, that an
electronic agreement be conditioned on the presence or use of
electronic content by one or more parties to the agreement. In its
simplest form, an electronic agreement contains a right and a
control that governs how that right is used.

Electronic agreements, like traditional agreements, may be
negotiated between their parties (terms and conditions submitted
by one or more parties may simply be accepted (cohesion contract)
by one or more other parties and/or such other parties may have
the right to select certain of such terms and conditions (while
others may be required)). Negotiation is defined in the dictionary
as "the act of bringing together by mutual agreement.* 1 The
preferred embodiment provides electronic negotiation processes by
which one or more rights and associated controls can be

(0064091.01)

established through electronic automated negotiation of terms.
Negotiations normally require a precise specification of rights and
controls associated with those rights. PERC and URT structures
provide a mechanism that may be used to provide precise
electronic representations of rights and the controls associated
with those rights. VDE thus provides a "vocabulary" and
mechanism by which users and creators may specify their desires.
Automated processes may interpret these desires and negotiate to
reach a common middle ground based on these desires. The
results of said negotiation may be concisely described in a
structure that may be used to control and enforce the results of
the electronic agreement. VDE further enables this process by
providing a secure execution space in which the negotiation
process(es) are assured of integrity and confidentiality in their
operation- The negotiation process(es) may also be executed in
such a manner that inhibits external tampering with the
negotiation.

A final desirable feature of agreements in general (and
electronic representations of agreements in particular) is that they
be accurately recorded in a non-repudiatable form. In traditional
terms, this involves creating a paper document (a contract) that
describes the rights, restrictions, and obligations of all parties
involved. This document is read and then signed by all parties as
being an accurate representation of the agreement. Electronic
agreements, by their nature, may not be initially rendered in
paper. VDE enables such agreements to be accurately
electronically described and then electronically signed to prevent
repudiation. In addition, the preferred embodiment provides a

593

(0064091.01)

mechanism by which human-readable descriptions of terms of the
electronic contract can be provided.

VDE provides a concise mechanism for specifying control
sets that are VDE site interpre table. Machine interpre table
mechanisms are often not human readable. VDE often operates
the negotiation process on behalf of at least one human user. It is
thus desirable that the negotiation be expressible in "human
readable form." VDE data structures for objects, methods, and
load modules all have provisions to specify one or more DTDs
within their structures. These DTDs may be stored as part of the
item or they may be stored independently. The DTD describes one
or more data elements (MDE, UDE, or other related data
elements) that may contain a natural language description of the
function of that item. These natural language descriptions provide
a language independent, human readable description for each
item. Collections of items (for example, a BUDGET method) can
be associated with natural language text that describes its
function and forms a term of an electronically specified and
enforceable contract. Collections of terms (a control set) define a
contract associated with a specific right. VDE thus permits the
electronic specification, negotiation, and enforcement of electronic
contracts that humans can understand and adhere to.

VDE 100 enables the negotiation and enforcement of
electronic contracts in several ways:

• it enables a concise specification of rights and control
information that permit a common vocabulary and
procedure for negotiation,

594

(0064091.01)

• it provides a secure processing environment within
which to negotiate,

• it provides a distributed environment within which
rights and control specifications may be securely
distributed,

• it provides a secure processing environment in which
negotiated contracts may be electronically rendered
and signed by the processes that negotiate them, and

• it provides a mechanism that securely enforces a
negotiated electronic contract.

Types of Negotiations

A simple form of a negotiation is a demand by one party to
form an "adhesion* contract. There are few, if any, options that
may be chosen by the other party in the negotiation. The recipient
of the demand has a simple option; she may accept or reject the
terms and conditions (control information) in the demand. If she
accepts the conditions, she is granted rights subject to the
specified control information. If she rejects the conditions, she is
not granted the rights. PERC and URT structures may support
negotiation by demand; a PERC or control set from a PERC may
be presented as a demand, and the recipient may accept or reject
the demand (selecting any permitted method options if they are
presented).

A common example of this type of negotiation today is the
purchase of software under the terms of a "shrink-wrap license. u

595

(006409 LO 1)

Many widely publicized electronic distribution schemes use this
type of negotiation. CompuServe is an example of an on-line
service that operates in the same manner. The choice is simple:
either pay the specified charge or don't use the service or software.
VDE supports this type of negotiation with its capability to
provide PERCs and URTs that describe rights and control
information, and by permitting a content owner to provide a
REGISTER method that allows a user to select from a set of
predefined method options. In this scenario, the REGISTER
method may contain a component that is a simplified negotiation
process.

A more complex form of a negotiation is analogous to
"haggling." In this scenario, most of the terms and conditions are
fixed, but one or more terms (e.g., price or payment terms) are not.
For these terms, there are options, limits, and elements that may
be negotiated over. A VDE electronic negotiation between two
parties may be used to resolve the desired, permitted, and optional
terms. The result of the electronic negotiation may be a finalized
set of rules and control information that specify a completed
electronic contract. A simple example is the scenario for
purchasing software described above adding the ability of the
purchaser to select a method of payment (VISA, Mastercard, or
American Express). A more complex example is a scenario for
purchasing information in which the price paid depends on the
amount of information about the user that is returned along with
a usage audit trail. In this second example, the right to use the
content may be associated with two control sets. One control set
may describe a fixed ("higher") price for using the content.
Another control set may describe a fixed ("lower") price for using

(0064091.01)

the content with additional control information and field
specifications requiring collection and return the user's personal
information. In both of these cases, the optional and permitted
fields and control sets in u PERC may describe the options that
may be selected as part of the negotiation. To perform the
negotiation, one party may propose a control set containing specific
fields, control information, and limits as specified by a PERC; the
other party may pick and accept from the control sets proposed,
reject them, or propose alternate control sets that might be used.
The negotiation process may use the permitted, required, and
optional designations in the PERC to determine an acceptable
range of parameters for the final rule set. Once an agreement is
reached, the negotiation process may create a new PERC and/or
URT that describes the result of the negotiation. The resulting
PERCs and/or URTs may be "signed" (e.g., using digital
signatures) by all of the negotiation processes involved in the
negotiation to prevent repudiation of the agreement at a later
date.

Additional examples of negotiated elements are: electronic
cash, purchase orders, purchase certificates (gift certificates,
coupons), bidding and specifications, budget "rollbacks" and
reconciliation, currency exchange rates, stock purchasing, and
billing rates.

A set of PERCs that might be used to support the second
example described above is presented in Figures 75A (PERC sent
by the content owner), 75B (PERC created by user to represent
their selections and rights), and 75C (PERC for controlling the
negotiation process). These PERCs might be used in conjunction

597

(0064091.01)

with any of the negotiation process(es) and protocols described
later in this section.

Figure 75 A shows an example of a PERC 3100 that might be
created by a content provider to describe their rights options. In
this example, the PERC contains information regarding a single
USE right. Two alternate control sets 3102a, 3102b are presented
for this right in the example. Control set 3102a permits the use of
the content without passing back information about the user, and
another control set 3102b permits the use of the content and
collects "response card" type information from the user. Both
control sets 3102a, 3102b may use a common set of methods for
most of the control information. This common control information
is represented by a CSR 3104 and CS0 3106.

Control set 3102a in this PERC 3100 describes a mechanism
by which the user may obtain the content without providing any
information about its user to the content provider. This control set
3102a specifies a well-known vending control method and set of
required methods and method options. Specifically, in this
example, control set 3102a defines a BUDGET method 3108 (e.g.,
one of VISA, Mastercard, or American Express) and it defines a
BILLING method 3110 that specifies a charge (e.g., a one-time
charge of $100.00).

Control set 3102b in this PERC 3100 describes another
mechanism by which the user may obtain the content. In this
example, the control set 3102b specifies a different vending control
method and a set of required methods and method options. This
second control set 3102b specifies a BUDGET method 3112 (e.g.,

(0064091.01)

one of VISA, Mastercard, or American Express), a BILLING
method 3116 that specifies a charge (e.g., a lesser one-time charge
such as $25.00) and an AUDIT method 3114 that specifies a set of
desired and required fields. The required and desired field
specification 3116 may take the form of a DTD specification, in
which, for example, the field names are listed.

The content creator may "prefer" one of the two control sets
(e.g., control set 2) over the other one. If so, the "preferred" control
set may be "offered" first in the negotiation process, and
withdrawn in favor of the "non-preferred" control set if the other
party to the negotiation "rejects" the "preferred" control set.

In this example, these two control sets 3102a, 3102b may
share a common BUDGET method specification. The BUDGET
method specification may be included in the CSR 3104 or CS0
3106 control sets if desired. Selecting control set 3102a (use with
no information passback) causes a unique component assembly to
be assembled as specified by the PERC 3100. Specifically, in this
example it selects the "Vending" CONTROL method 3118, the
BILLING method 3110 for a $100 fixed charge, and the rest of the
control information specified by CSR 3104 and CS0 3106. It also
requires the user to specify her choice of acceptable BUDGET
method (e.g., from the list including VISA, Mastercard, and
American Express). Selecting control set 3102b assembles a
different component assembly using the "Vending with 'response
card*" CONTROL method 3120, the BILLING method 3116 (e.g.,
for a $25 fixed charge), an AUDIT method 3114 that requires the
fields listed in the Required Fields DTD 3116. The process may
also select as many of the fields listed in the Desired Fields DTD

599

(0064091.01)

3116 as are made available to it. The rest of the control
information is specified by CSR 3104 and CSO 3106. The selection
of control set 3102b also forces the user to specify their choice of
acceptable BUDGET methods (e.g., from the list including VISA,
Mastercard, and American Express).

Figure 75B shows an example of a control set 3125 that
might be used by a user to specify her desires and requirements in
a negotiation process. This control set has a USE rights section
3127 that contains an aggregated CSR budget specification 3129
and two optional control sets 3131a, 3131b for use of the content.
Control set 3131a requires the use of a specific CONTROL method
3133 and AUDIT method 3135. The specified AUDIT method 3135
is parameterized with a list of fields 3137 that may be released in
the audit trail. Control set 3131a also specifies a BILLING
method 3139 that can cost no more than a certain amount (e.g.,
$30.00). Control set 3131b in this example describes a specific
CONTROL method 3141 and may reference a BILLING method
3143 that can cost no more than a certain amount (e.g., $150.00) if
this option is selected.

Figure 75E shows a more high-level view of an electronic
contract 3200 formed as a "result" of a negotiation process as
described above. Electronic contract 3200 may include multiple
clauses 3202 and multiple digital signatures 3204. Each clause
3202 may comprise a PERC/URT such as item 3160 described
above and shown in Figure 75D. Each "clause* 3202 of electronic
contract 3200 thus corresponds to a component assembly 690 that
may be assembled and executed by a VDE electronic appliance
600. Just as in normal contracts, there may be as many contract

600

(0064091.01)

clauses 3202 within electronic contract 3200 as is necessary to
embody the "agreement" between the "parties." Each of clauses
3202 may have been electronically negotiated and may thus
embody a part of the "agreement" (e.g., a "compromise") between
the parties. Electronic contract 3200 is "self-executing" in the
sense that it may be literally executed by a machine, i.e., a VDE
electronic appliance 600 that assembles component assemblies 690
as specified by various electronic clauses 3202. Electronic contract
3200 may be automatically "enforced" using the same VDE
mechanisms discussed above that are used in conjunction with any
component assembly 690. For example, assuming that a clause
3202(2) corresponds to a payment or BILLING condition or term,
its corresponding component assembly 690 when assembled by a
user's VDE electronic appliance 600 may automatically determine
whether conditions are right for payment and, when they are,
automatically access an appropriate payment mechanism (e.g., a
virtual "credit card" object for the user) to arrange that payment to
be made. As another example, assuming that electronic contract
clause N 3202(N) corresponds to a user's obligation to provide
auditing information to a particular VDE participant, electronic
contract 3200 will cause VDE electronic appliance 600 to assemble
a corresponding component assembly 690 that may, for example,
access the appropriate audit trails within secure database 610 and
provide them in an administrative object to the correct participant.
Figure 75F shows that clause 3202(N) may, for example, specify a
component assembly 690 that arranges for multiple steps in a
transaction 3206 to occur. Some of these steps (e.g., step 3208(4),
3208(5)) may be conditional on a test (e.g., 3208(3)) such as, for
example, whether content usage has exceeded a certain amount,

601

(0064091.01)

whether a certain time period has expired, whether a certain
calendar date has been reached, etc.

Digital signatures 3204 shown in the Figure 75E electronic
contract 3200 may comprise, for example, conventional digital
signatures using public key techniques as described above. Some
electronic contracts 3200 may not bear any digital signatures 3204.
However, it may be desirable to require the electronic appliance
600 of the user who is a party to the electronic contract 3200 to
digitally "sign* the electronic contract so that the user cannot later
repudiate the contract, for evidentiary purposes, etc. Multiple
parties to the same contract may each digitally "sign* the same
electronic contract 3200 similarly to the way multiple parties to a
contract memorialized in a written instrument use an ink pen to
sign the instrument.

Although each of the clauses 3202 of electronic contract 3200
may ultimately correspond to a collection of data and code that
may be executed by a PPE 650, there may in some instances be a
need for rendering a human readable version of the electronic
contract. This need can be accommodated by, as mentioned above,
providing text within one or more DTDs associated with the
component assembly or assemblies 690 used to "self-execute" the
contract. Such text might, for example, describe from a functional
point of view what the corresponding electronic contract clause
3202 means or involves, and/or might describe in legally
enforceable terms what the legal obligation under the contract is
or represents. "Templates 0 (described elsewhere herein) might be
used to supply such text from a text library. An expert system
and/or artificial intelligence capability might be used to impose

602

(0064091.01)

syntax rules that bind different textual elements together into a
coherent, humanly readable contract document. Such text could, if
necessary, be reviewed and modified by a "human" attorney in
order customize it for the particular agreement between the
parties and/or to add further legal obligations augmenting the
"self-executing" electronic obligations embodied within and
enforced by the associated component assemblies 690 executing on
a VDE electronic appliance 600. Such text could be displayed
automatically or on demand upon execution of the electronic
contract, or it could be used to generate a printed humanly-
readable version of the contract at any time. Such a document
version of the electronic contract 3200 would not need to be signed
in ink by the parties to the agreement (unless desired) in view of
the fact that the digital signatures 3204 would provide a
sufficiently secure and trusted evidentiary basis for proving the
parties* mutual assent to all the terms and conditions within the
contract.

In the preferred embodiment, the negotiation process
executes within a PPE 650 under the direction of a further PERC
that specifies the process. Figure 75C shows an example of a
PERC 3150 that specifies a negotiation process. The PERC 3150
contains a single right 3152 for negotiation, with two permitted
control sets 3154a, 3154b described for that right. The first
control set 3154a may be used for a "trusted negotiation*; it
references the desired negotiation CONTROL method ("Negotiate")
3156 and references (in fields 3157a, 3157b) two UDEs that this
CONTROL method will use. These UDEs may be, for example,
the PERCs 3100, 3125 shown in Figures 75A and 75B. The second
control set 3154b may be used by "multiple negotiation a processes
to manage the negotiation, and may provide two negotiation

603

(0064091.01)

methods: "Negotiate 1," and "Negotiate2 w . Both negotiation
processes may be described as required methods ("Negotiate 1" and
"Negotiate2") 3156, 3158 that take respective PERCs 3100, 3125
as their inputs. The CONTROL method 3158 for this control set
in this example may specify the name of a service that the two
negotiation processes will use to communicate with each other,
and may also manage the creation of the URT resulting from the
negotiation.

When executed, the negotiation process(es) specified by the
PERC 3150 shown in Figure 75C may be provided with the PERCs
3100, 3125 as input that will be used as the basis for negotiation.
In this example, the choice of negotiation process type (trusted or
multiple) may be made by the executing VDE node. The PERC
3150 shown in Figure 75C might be, for example, created by a
REGISTER method in response to a register request from a user.
The process specified by this PERC 3150 may then be used by a
REGISTER method to initiate negotiation of the terms of an
electronic contract.

During this example negotiation process, the PERCs 3100,
3125 shown in Figures 75A and 75B act as input data structures
that are compared by a component assembly created based on
PERC 3150 shown in Figure 35C. The component assembly
specified by the control sets may be assembled and compared,
starting with required "terms," and progressing to
preferred/desired "terms" and then moving on to permitted
"terms," as the negotiation continues. Method option selections
are made using the desired method and method options specified
in the PERCs 3100, 3125. In this example, a control set for the

(0064091.01)

PERC 3100 shown in Figure 75A may be compared against the
PERC 3125 shown in Figure 75B. If there is a "match," the
negotiation is successfully concluded and "results" are generated.

In this embodiment, the results of such negotiation will
generally be written as a URT and "signed" by the negotiation
process(es) to indicate that an agreement has been reached. These
electronic signatures provide the means to show that a (virtual)
"meeting of minds" was reached (one of the traditional legal
preconditions for a contract to exist). An example of the URT 3160
that would have been created by the above example is shown in
Figure 75D.

This URT 3160 (which may itself be a PERC 808) includes a
control set 3162 that reflects the "terms" that were "agreed upon"
in the negotiation. In this example, the "agreed upon" terms must
"match" terms required by input PERCs 3100, 3125 in the sense
that they must be "as favorable as" the terms required by those
PERCs. The negotiation result shown includes, for example, a
"negotiated" control set 3162 that in some sense corresponds to the
control set 3102a of the Figure 75A PERC 3100 ami to the control
set 3131a of the Figure 75B control set 3125. Resulting
"negotiated" control set 3162 thus includes a required BUDGET
method 3164 that corresponds to the control set 3125 desired
BUDGET method 3142 but which is "within" the range of control
sets allowed by control set 3100 required BUDGET method 3112.
Similarly, resulting negotiated control set 3162 includes a required
AUDIT method 3166 that complies with the requirements of both
PERC 3100 required AUDIT method 3114 and PERC 3125
required AUDIT method 3135. Similarly, resulting negotiated

(0064091.01)

control set 3162 includes a required BILLING method 3170 that
"matches" or complies with each of PERC 3100 required BILLING
method 3116 and PERC 3125 required BILLING method 3170.

Another class of negotiation is one under which no rules are
fixed and only the desired goals are specified. The negotiation
processes for this type of negotiation may be very complex. It may
utilize artificial intelligence, fuzzy logic, and/or related algorithms
to reach their goals. VDE supports these types of processes by
providing a mechanism for concisely specifying rights, control
information, fields and goals (in the form of desired rights, control
information, and fields). Goals for these types of processes might
be specified as one more control sets that contain specific elements
that are tagged as optional, permitted, or desired.

Types of Negotiations

Negotiations in the preferred embodiment may be structured
in any of the following ways:

1. shared knowledge

2. trusted negotiator

3. "zero-based" knowledge

"Shared knowledge" negotiations are based on all parties
knowing all of the rules and constraints associated with the
negotiation. Demand negotiations are a simple case of shared
knowledge negotiations; the demander presents a list of demands
that must be accepted or rejected together. The list of demands
comprises a complete set of knowledge required to accept or reject
each item on the list. VDE enables this class of negotiation to
occur electronically by providing a mechanism by which demands

606

(0064091.01)

may be encoded, securely passed, and securely processed between
and with secure VDE subsystems using VDE secure processing,
and communication capabilities. Other types of shared knowledge
negotiations employed by VDE involve the exchange of information
between two or more negotiating parties; the negotiation
process(es) can independently determine desired final outcome(s)
based on their independent priorities. The processes can then
negotiate over any differences. Shared knowledge negotiations
may require a single negotiation process (as in a demand type
negotiation) or may involve two or more cooperative processes.
Figures 76A and 76B illustrate scenarios in which one and two
negotiation processes are used in a shared knowledge negotiation.

Figure 76A shows a single negotiation process 3172 that
takes any number of PERCs 808 (e.g., supplied by different
parties) as inputs to the negotiation. The negotiation process 3172
executes at a VDE node under supervision of "Negotiation Process
Rules and Control information" that may be supplied by a further
PERC (e.g., PERC 3150 shown in Figure 75C). The process 3172
generates one or more PERCs/URTs 3160 as results of the
negotiation.

Figure 76B shows multiple negotiation processes 3172A-
3172N each of which takes as input a PERC 808 from a party and
a further PERC 3150 that controls the negotiation process, and
each of which generates a negotiated "result" PERC/URT 3160 as
output. Processes 3172A-3172N may execute at the same or
different VDE nodes and may communicate using a "negotiation
protocol."

607

(0064091.01)

Single and multiple negotiation processes may be used for
specific VDE sites. The negotiation processes are named, and can
be accessed using well known method names. PERCs and URTs
ma: be transported in administrative or smart objects to remote
VDE sites for processing at that site, as may the control PERCs
and REGISTER method that controls the negotiation.

Multiple negotiation processes require the ability to
communicate between these processes 3172; including secure
communication between secure processes that are present at
physically separate VDE sites (secure subsystems). VDE
generalizes the inter-process communication into a securely
provided service that can be used if the configuration requires it.
The inter-process communication uses a negotiation protocol to
exchange information about rule sets between processes 3172. An
example of a negotiation protocol includes the following
negotiation "primitives":

WANT Want a set of terms and conditions

ACCEPT Accept a set of terms and conditions

REJECT Reject a set of terms and conditions

OFFER Offer a set of terms and conditions in

reaching an agreement
AGREEMENT Conclude the negotiation and pass the
rule set for signature

HAVE

exchange for other terms and conditions
Assert a set of terms and conditions are
possible or desirable

QUIT

Assert the end of the negotiation without

608

(0064091.01)

The WANT primitive takes rights and control set (or parts of
control sets) information, and asserts to the other process(es) 3172
that the specified terms are desired or required. Demand
negotiations are a simple case of a WANT primitive being used to
assert the demand. This example of a protocol may introduce a
refined form of the WANT primitive, REQUIRE. In this example,
REQUIRE allows a party to set terms that she decides are
necessary for a contract to be formed, WANT may allow the party
to set terms that are desirable but not essential. This permits a
distinction between "must have" and "would like to have."

In this example, WANT primitives must always be answered
by an ACCEPT, REJECT, or OFFER primitive. The ACCEPT
primitive permits a negotiation process 3172 to accept a set of
terms and conditions. The REJECT primitive permits a process
3172 to reject an offered set of terms and conditions. Rejecting a
set of required terms and conditions may terminate the
negotiation. OFFER permits a counter-offer to be made.

The HAVE, QUIT, and AGREEMENT primitives permit the
negotiation protocols to pass information about rule sets. Shared
knowledge negotiations may, for example, start with all
negotiation processes 3172A-3172N asserting HAVE (my PERC) to
the other processes. HAVE is also used when an impasse is
reached and one process 3172 needs to let the other process 3172
know about permitted options. QUIT signals an unsuccessful end
of the negotiation without reaching an agreement, while
AGREEMENT signals a successful end of an agreement and
passes the resulting "negotiated" PERC/URT 3160 to the other
process(es) 3172 for signature.

609

(0064091.01)

In "trusted negotiator" negotiations, all parties provide their
demands and preferences to a "trusted" negotiator and agree to be
bound by her decision. This is similar to binding arbitration in
today's society. VDE enables this mode of negotiation by providing
an environment in which a "trusted" negotiation service may be
created. VDE provides not only the mechanism by which
demands, desires, and limits may be concisely specified (e.g., in
PERCs), but in which the PERCs may be securely transferred to a
"trusted" negotiation service along with a rule set that specifies
how the negotiation will be conducted, and by providing a secure
execution environment so that the negotiation process may not be
tampered with. Trusted negotiator services can be used at VDE
sites where the integrity of the site is well known. Remote trusted
negotiation services can be used by VDE sites that do not possess
sufficient computing resources to execute one or more negotiation
process(es); they can establish a communication link to a VDE site
that provides this service and permits the service to handle the
negotiation on their behalf.

"Zero-based" knowledge negotiations share some
characteristics of the zero-based knowledge protocols used for
authentication. It is well understood in the art how to construct a
protocol that can determine if a remote site is the holder of a
specific item without exchanging or exposing the item. This type
of protocol can be constructed between two negotiation processes
operating on at least one VDE site using a control set as their
knowledge base. The negotiation processes may exchange
information about their control sets, and may make demands and
counter proposals regarding using their individual rule sets. For
example, negotiation process A may communicate with negotiation

610

(0064091.01)

process B to negotiate rights to read a book. Negotiation process A
specifies that it will pay not more than $10.00 for rights to read
the book, and prefers to pay between $5.00 and $6.00 for this
right. Process A's rule set also specifies that for the $5.00 option,
it will permit the release of the reader's name and address.
Process B's rule set specifies that it wants $50.00 for rights to read
the book, and will provide the book for $5.50 if the user agrees to
release information about himself. The negotiation might go
something like this:

Process A <— > Process B

Want (right to read, unrestricted) — >

< — Have(right to read,
unrestricted, $50)

Offer (right to read, tender
user info) — >

< — Have(right to read,

tender user info, $5.50)

Accept(right to read, tender
user info, $5.50) >

In the above example, process A first specifies that it desires
the right to read the book without restrictions or other information
release. This starting position is specified as a rights option in the
PERC that process A is using as a rule. Process B checks its rules
and determines that an unrestricted right to read is indeed
permitted for a price of $50. It replies to process A that these
terms are available. Process A receives this reply and checks it
against the control set in the PERC it uses as a rule base. The
$50 is outside the $10 limit specified for this control set, so Process
A cannot accept the offer. It makes a counter offer (as described in
another optional rights option) of an unrestricted right to read
coupled with the release of the reader's name and address. The

611

(0064091.01)

name and address fields are described in a DTD referenced by
Process A's PERC. Process B checks its rules PERC and
determines that an unrestricted right to read combined with the
release of personal information is a permitted option. It compares
the fields that would be released as described in the DTD provided
by Process A against the desired fields in a DTD in its own PERC,
and determines an acceptable match has occurred. It then sends
an offer for unrestricted rights with the release of specific
information for the cost of $5.50 to Process A. Process A compares
the right, restrictions, and fields against its rule set and
determines that $5.50 is within the range of $5-$6 described as
acceptable in its rule set. It accepts the offer as made. The offer
is sealed by both parties "signing" a new PERC that describes the
results of the final negotiation (unrestricted rights, with release of
user information, for $5.50). The new PERC may be used by the
owner of Process A to read the content (the book) subject to the
described terms and conditions.

Further Chain of Handling Model

As described in connection with Figure 2, there are four (4)
"participant" instances of VDE 100 in one example of a VDE chain
of handling and control used, for example, for content distribution.
The first of these participant instances, the content creator 102, is
manipulated by the publisher, author, rights owner or distributor
of a literary property to prepare the information for distribution to
the consumer. The second participant instance, VDE rights
distributor 106, may distribute rights and may also administer
and analyze customers' use of VDE authored information. The
third participant instance, content user 112, is operated by users
(included end-users and distributors) when they use information

612

(0064091.01)

The fourth participant instance, financial clearinghouse 116
enables the VDE related clearinghouse activities. A further
participant, a VDE administrator, may provide support to keep
VDE 100 operating properly. With appropriate authorizations and
Rights Operating System components installed, any VDE
electronic appliance 600 can play any or all of these participant
roles.

Literary property is one example of raw material for VDE
100. To transfer this raw material into finished goods, the
publisher, author, or rights owner uses tools to transform digital
information (such as electronic books, databases, computer
software and movies) into protected digital packages called
"objects." Only those consumers (or others along the chain of
possession such as a redistributor) who receive permission from a
distributor 106 can open these packages. VDE packaged content
can be constrained by "rules and control information" provided by
content creator 102 and/or content distributor 106 — or by other
VDE participants in the content's distribution pathway, i.e.,
normally by participants "closer" to the creation of the VDE
secured package than the participant being constrained.

Once the content is packaged in an "object," the digital
distribution process may begin. Since the information packages
themselves are protected, they may be freely distributed on CD-
ROM disks, through computer networks, or broadcast through
cable or by airwaves. Informal "out of channel" exchange of
protected packages among end-users does not pose a risk to the
content property rights. This is because only authorized
individuals may use such packages. In fact, such "out of channel"

613

(0064091.01)

distribution may be encouraged by some content providers as a
marginal cost method of market penetration. Consumers with
usage authorizations (e.g., a VISA clearinghouse budget allowing a
certain dollar amount of usage) may, for example, be free to
license classes of out of channel VDE protected packages provided
to them, for example, by a neighbor.

To open a VDE package and make use of its content, an end-
user must have permission. Distributors 106 can grant these
permissions, and can very flexibly (if permitted by senior control
information) limit or otherwise specify the ways in which package
contents may be used. Distributors 106 and financial
clearinghouses 116 also typically have financial responsibilities
(they may be the same organization in some circumstances if
desired). They ensure that any payments required from end-users
fulfill their own and any other participant's requirements. This is
achieved by auditing usage.

Distributors 106 using VDE 100 may include software
publishers, database publishers, cable, television, and radio
broadcasters, and other distributors of information in electronic
form. VDE 100 supports all forms of electronic distribution,
including distribution by broadcast or telecommunications, or by
the physical transfer of electronic storage media. It also supports
the delivery of content in homogeneous form, seamlessly
integrating information from multiple distribution types with
separate delivery of permissions, control mechanisms and content.

Distributors 106 and financial clearinghouses 116 may
themselves be audited based on secure records of their

614

(0064091.01)

administrative activities and a chain of reliable, "trusted"
processes ensures the integrity of the overall digital distribution
process. This allows content owners, for example, to verify that
they are receiving appropriate compensation based on actual
content usage or other agreed-upon bases.

Since the end-user 112 is the ultimate consumer of content
in this example, VDE 100 is designed to provide protected content
in a seamless and transparent way — so long as the end-user stays
within the limits of the permissions she has received. The
activities of end-user 112 can be metered so that an audit can be
conducted by distributors 106. The auditing process may be
filtered and/or generalized to satisfy user privacy concerns. For
example, metered, recorded VDE content and/or appliance usage
information may be filtered prior to reporting it to distributor 106
to prevent more information than necessary from being revealed
about content user 112 and/or her usage.

VDE 100 gives content providers the ability to recreate
important aspects of their traditional distribution strategies in
electronic form and to innovatively structure new distribution
mechanisms appropriate to their individual needs and
circumstances. VDE 100 supports relevant participants in the
chain of distribution, and also enables their desired pricing
strategies, access and redistribution permissions, usage rules, and
related administrative and analysis procedures. The reusable
functional primitives of VDE 100 can be flexibly combined by
content providers to reflect their respective distribution objectives.
As a result, content providers can feed their information into

615

(0064091.01)

established distribution channels and also create their own
personalized distribution channels.

A summary of the roles of the various 1. articipants of virtual
distribution environment 100 is set forth in the table below:

Role 1

Description

Traditional* Participants -

Content creator

Packager and initial distributor of digital
information

Content owner

Owner of the digital information.

Distributors

Provide rights distribution services for budgets
and/or content.

Auditor

Provides services for processing and reducing
usage based audit trails.

Clearinghouse

Provides intermediate store and forward services
for content and audit information. Also, typically
provides a platform for other services, including
third party financial providers and auditors.

Network provider

Provides communication services between sites
and other participants.

Financial providers

Provider of third party sources of electronic funds
to end-users and distributors. Examples of this
class of users are VISA, American Express, or a
government.

End Users

Consumers of information.

Other Participants

Redistributor

Redistributes rights to use content based on chain
of handling restrictions from content providers
and/or other distributors.

VDE Administrator

Provider of trusted services for support of VDE
nodes.

(0064091.01)

Role

Description

Independent Audit
Processor

Provider of services for processing and
summarizing audit trail data. Provides
anonymity to end-users while maintaining the
comprehensive audit capabilities required by the
content providers.

Agents

Provides distributed presence for end-users and
other VDE participants.

Of these various VDE participants, the "redistributor," "VDE
Administrator," "independent audit processor" and "agents" are, in
certain respects "new" participants that may have no counterpart
in many "traditional" business models. The other VDE
participants (i.e., content provider, content owner, distributors,
auditor, clearinghouse, network provider and financial providers)
have "traditional" business model counterparts in the sense that
traditional distribution models often included non-electronic
participants performing some of the same business roles they serve
in the virtual distribution environment 100.

VDE distributors 106 may also include "end-users" who
provide electronic information to other end-users. For example,
Figure 77 shows a further example of a virtual distribution
environment 100 chain of handling and control provided by the
present invention. As compared to Figure 2, Figure 77 includes a
new "client administrator" participant 700. In addition, Figure 77
shows several different content users 112(1), 112(2), . . . , 112(n)
that may all be subject to the "jurisdiction" of the client
administrator 700. Client administrator 700 may be, for example,
a further rights distributor within a corporation or other
organization that distributes rights to employees or other

617

(0064091.01)

•

organization participant units (such as divisions, departments,
networks, and or groups, etc.) subject to organization-specific
"rules and control information " The client administrator 700 may
fashion rules and control information for distribution, subject to
"rules and control" specified by creator 102 and/or distributor 106.

As mentioned above, VDE administrator 116b is a trusted
VDE node that supports VDE 100 and keeps it operating properly.
In this example, VDE administrator 116b may provide, among
others, any of all of the following:

• VDE appliance initialization services

• VDE appliance reinitialization/update services

• Key management services
"Hot lists" of "rogue" VDE sites

• Certification authority services

• Public key registration

• Client participant unit content budgets and other

All participants of VDE 100 have the innate ability to
participate in any role. For example, users may gather together
existing protected packages, add (create new content) packages of
their own, and create new products. They may choose to serve as
their own distributor, or delegate this responsibility to others.
These capabilities are particularly important in the object oriented
paradigm which is entering the marketplace today. The
production of compound objects, object linking and embedding, and
other multi-source processes will create a need for these
capabilities of VDE 100. The distribution process provided by

authorizations

618

(0064091.01)

VDE 100 is symmetrical; any end-user may redistribute
information received to other end-users, provided they possess
permission from and follow the rules established by the
distribution chain VDE control information governing
redistribution. End-users also may, within the same rules and
permissions restriction, encapsulate content owned by others
within newly published works and distribute these works
independently. Royalty payments for the new works may be
accessed by the publisher, distributors, or end-users, and may be
tracked and electronically collected at any stage of the chain.

Independent financial providers can play an important role
in VDE 100. The VDE financial provider role is similar to the role
played by organizations such as VISA in traditional distribution
scenarios. In any distribution model, authorizing payments for use
of products or services and auditing usage for consistency and
irregularities, is critical. In VDE 100, these are the roles filled by
independent financial providers. The independent financial
providers may also provide audit services to content providers.
Thus, budgets or limits on use, and audits, or records of use, may
be processed by (and may also be put in place by) clearinghouses
116, and the clearinghouses may then collect usage payments from
users 112. Any VDE user 112 may assign the right to process
information or perform services on their behalf to the extend
allowed by senior control information. The arrangement by which
one VDE participant acts on behalf of another is called a "proxy."
Audit, distribution, and other important rights may be "proxied" if
permitted by the content provider. One special type of "proxy" is
the VDE administrator 116b. A VDE administrator is an

(0064091.01)

organization (which may be acting also as a financial
clearinghouse 116) that has permission to manage (for example,
"intervene" to reset) some portion or all of VDE secure subsystem
control information for VDE electronic appliances. This
administration right may extend only to admitting new appliances
to a VDE infrastructure and to recovering "crashed" or otherwise
inoperable appliances, and providing periodic VDE updates.

More On Object Creation, Distribution Methods, Budgets, and
Audits

VDE node electronic appliances 600 in the preferred
embodiment can have the ability to perform object creation,
distribution, audit collection and usage control functions provided
by the present invention. Incorporating this range of capabilities
within each of many electronic appliances 600 provided by the
preferred embodiment is important to a general goal of creating a
single (or prominent) standard for electronic transactions
metering, control, and billing, that, in its sum of installations,
constitutes a secure, trusted, virtual transaction/distribution
management environment. If, generally speaking, certain key
functions were generally or frequently missing, at least in general
purpose VDE node electronic appliances 600, then a variety of
different products and different standards would come forth to
satisfy the wide range of applications for electronic
transaction/distribution management; a single consistent set of
tools and a single "rational," trusted security and commercial
distribution environment will not have been put in place to answer
the pressing needs of the evolving "electronic highway." Certain
forms of certain electronic appliances 600 containing VDE nodes

620

(0064091.01)

which incorporate embedded dedicated VDE microcontrollers such
as certain forms of video cassette players, cable television
converters and the like may not necessarily have or need full VDE
capabilities. However, the preferred embodiment provides a
number of distributed, disparately located electronic appliances
600 each of which desirably include authoring, distribution,
extraction, audit, and audit reduction capabilities, along with
object authoring capabilities.

The VDE object authoring capabilities provided by the
preferred embodiment provides an author, for example, with a
variety of menus for incorporating methods in a VDE object 300,
including:

• menus for metering and/or billing methods which

define how usage of the content portion of a VDE
object is to be controlled,

• menus related to extraction methods for limiting

and/or enabling users of a VDE object from
extracting information from that object, and may
include placing such information in a newly
created and/or pre-existing VDE content
container,,

• menus for specifying audit methods — that is,

whether or not certain audit information is to be
generated and communicated in some secure
fashion back to an object provider, object creator,
administrator, and/or clearinghouse, and

• menus for distribution methods for controlling how

an object is distributed, including for example,

621

(0064091.01)

controlling distribution rights of different
participants "down" a VDE chain of content
container handling.
The authoring capabilities may also include procedures for
distributing administrative budgets, object distribution control
keys, and audit control keys to distributors and other VDE
participants who are authorized to perform distribution and/or
auditing functions on behalf of the author, distributors, and/or
themselves. The authoring capabilities may also include
procedures for selecting and distributing distribution methods,
audit methods and audit reduction methods, including for
example, securely writing and/or otherwise controlling budgets for
object redistribution by distributors to subsequent VDE chain of
content handling participants.

The content of an object 300 created by an author may be
generated with the assistance of a VDE aware application program
or a non-VDE aware application program. The content of the
object created by an author in conjunction with such programs
may include text, formatted text, pictures, moving pictures,
sounds, computer software, multimedia, electronic games,
electronic training materials, various types of files, and so on,
without limitation. The authoring process may encapsulate
content generated by the author in an object, encrypt the content
with one or more keys, and append one or more methods to define
parameters of allowed use and/or required auditing of use and/or
payment for use of the object by users (and/or by authorized users
only). The authoring process may also include some or all aspects
of distributing the object.

622

(0064091.01)

In general, in the preferred embodiment, an author can:

A. Specify what content is to be included in an object.

B. Specify content oriented methods including:

Information-typically abstract, promotional,
identifying, scheduling, and/or other information
related to the content and/or author

Content-e.g. list of files and/or other information
resources containing content, time variables, etc.

C. Specify control information (typically a collection of

methods related to one another by one or more
permissions records, including any method
defining variables) and any initial authorized user
list including, for example:
Control information over Access & Extraction
Control information over Distribution
Control information over Audit Processing

A VDE node electronic appliance 600 may, for example,
distribute an object on behalf of an object provider if a VDE node
receives from an object provider administrative budget information
for distributing the object and associated distribution key
information.

A VDE node electronic appliance 600 may receive and
process audit records on behalf of an object provider if that VDE
node receives any necessary administrative budget, audit method,
and audit key information (used, for example, to decrypt audit
trails), from the object provider. An auditing-capable VDE
electronic appliance 600 may control execution of audit reduction

623

(0064091.01)

methods. "Audit reduction" in the preferred embodiment is the
process of extracting information from audit records and/or
processes that an object provider (e.g., any object provider along a
chain of handling of the object) has specified to be reported to an
object's distributors, object creators, client administrators, and/or
any other user of audit information. This may include, for
example, advertisers who may be required to pay for a user's
usage of object content. In one embodiment, for example, a
clearinghouse can have the ability to "append" budget, audit
method, and/or audit key information to an object or class or other
grouping of objects located at a user site or located at an object
provider site to ensure that desired audit processes will take place
in a "trusted" fashion. A participant in a chain of handling of a
VDE content container and/or content container control
information object may act as a "proxy" for another party in a
chain of handling of usage auditing information related to usage of
object content (for example a clearinghouse, an advertiser, or a
party interested in market survey and/or specific customer usage
information). This may be done by specifying, for that other party,
budget, audit method, and/or key information that may be
necessary to ensure audit information is gathered and/or provided
to, in a proper manner, said additional party. For example,
employing specification information provided by said other party.

Object Creation and Initial Control Structures

The VDE preferred embodiment object creation and control
structure design processes support fundamental configurability of
control information. This enables VDE 100 to support a full
range of possible content types, distribution pathways, usage

624

(0O64O91.01)

control information, auditing requirements, and users and user
groups. VDE object creation in the preferred embodiment employs
VDE templates whose atomic elements represent at least in part
modular control processes. Employing VDE creation software (in
the preferred embodiment a GUI programming process) and VDE
templates, users may create VDE objects 300 by, for example,
partitioning the objects, placing "meta data" (e.g., author's name,
creation date, etc.) into them, and assigning rights associated with
them and/or object content to, for example, a publisher and/or
content creator. When an object creator runs through this process,
she normally will go through a content specification procedure
which will request required data. The content specification
process, when satisfied, may proceed by, for example, inserting
data into a template and encapsulating the content. In addition,
in the preferred embodiment, an object may also automatically
register its presence with the local VDE node electronic appliance
600 secure subsystem, and at least one permissions record 808
may be produced as a result of the interaction of template
instructions and atomic methods, as well as one or more pieces of
control structure which can include one or more methods, budgets,
and/or etc. A registration process may require a budget to be
created for the object. If an object creation process specifies an
initial distribution, an administrative object may also be created
for distribution. The administrative object may contain one or
more permission records 808, other control structures, methods,
and/or load modules.

Permissions records 808 may specify various control
relationships between objects and users. For example, VDE 100

625

(0064091.01)

supports both single access (e.g., one-to-one relationship between a
user and a right user) and group access (any number of people
may be authorized as a group). A single permissions record 808
can define both single and group access. VDE 100 may provide
"sharing" a process that allows multiple users to share a single
control budget as a budget. Additional control structure concepts
include distribution, redistribution, and audit, the latter
supporting meter and budget information reduction and/or
transfer. All of these processes are normally securely controlled by
one or more VDE secure subsystems.

Templates and Classes

VDE templates, classes, and flexible control structures
support frameworks for organizations and individuals that create,
modify, market, distribute, redistribute, consume, and otherwise
use movies, audio recordings and live performances, magazines,
telephony based retail sales, catalogs, computer software,
information databases, multimedia, commercial communications,
advertisements, market surveys, infomercials, games, CAD/CAM
services for numerically controlled machines, and the like. As the
context surrounding these classes changes or evolves, the
templates provided by the preferred embodiment of the present
invention can be modified to meet these changes for broad use, or
more focused activities.

VDE 100 authoring may provide three inputs into a create
process: Templates, user input and object content. Templates act
as a set of control instructions and/or data for object control
software which are capable of creating (and/or modifying) VDE

(0064091.01)

objects in a process that interacts with user instructions and
provided content to create a VDE object. Templates are usually
specifically associated with object creation and/or control
structures. Classes represent user groups which can in lude
"natural" groups within an organization, such as department
members, specific security clearance levels, etc., or ad hoc lists of
individual's and/or VDE nodes.

For example, templates may be represented as text files
defining specific structures and/or component assemblies.
Templates, with their structures and/or component assemblies may
serve as VDE object authoring or object control applications. A
creation template may consist of a number of sub-templates,
which, at the lowest level, represent an "atomic level" of
description of object specification. Templates may present one or
more models that describe various aspects of a content object and
how the object should be created including employing secure
atomic methods that are used to create, alter, and/or destroy
permissions records 808 and/or associated budgets, etc.

Templates, classes (including user groups employing an
object under group access), and flexible control structures
including object "independent" permissions records (permissions
that can be associated with a plurality of objects) and structures
that support budgeting and auditing as separate VDE processes,
help focus the flexible and configurable capabilities inherent
within authoring provided by the present invention in the context
of specific industries and/or businesses and/or applications. VDE
rationalizes and encompasses distribution scenarios currently

(0064091.01)

employed in a wide array of powerful industries (in part through
the use of application or industry specific templates). Therefore, it
is important to provide a framework of operation and/or structure
to allow existing industries and/or applications and/or businesses
to manipulate familiar concepts related to content types,
distribution approaches, pricing mechanisms, user interactions
with content and/or related administrative activities, budgets, and
the like.

The VDE templates, classes, and control structures are
inherently flexible and configurable to reflect the breadth of
information distribution and secure storage requirements, to allow
for efficient adaptation into new industries as they evolve, and to
reflect the evolution and/or change of an existing industry and/or
business, as well as to support one or more groups of users who
may be associated with certain permissions and/or budgets and
object types. The flexibility of VDE templates, classes, and basic
control structures is enhanced through the use of VDE aggregate
and control methods which have a compound, conditional process
impact on object control. Taken together, and employed at times
with VDE administrative objects and VDE security arrangements
and processes, the present invention truly achieves a content
control and auditing architecture that can be configured to most
any commercial distribution embodiment. Thus, the present
invention fully supports the requirements and biases of content
providers without forcing them to fit a predefined application
model. It allows them to define the rights, control information,
and flow of their content (and the return of audit information)
through distribution channels.

628

(0064091.01)

Modifying Object Content (Adding, Hiding, Modifying, Removing,
and/or Extending)

Adding new content to objects is an important aspect of
authoring provided by the present invention. Providers may wish
to allow one or more users to add, hide, modify, remove and/or
extend content that they provide. In this way, other users may
add value to, alter for a new purpose, maintain, and/or otherwise
change, existing content. The ability to add content to an empty
and/or newly created object is important as well.

When a provider provides content and accompanying control
information, she may elect to add control information that enables
and/or limits the addition, modification, hiding and/or deletion of
said content. This control information may concern:

• the nature and/or location of content that may be

added, hidden, modified, and/or deleted;

• portions of content that may be modified, hidden,

deleted and/or added to;

• required secure control information over subsequent -

VDE container content usage in a chain of control
and/or locally to added, hidden, and/or modified
content;

• requirements that provider-specified notices and/or

portions of content accompany added, hidden,
deleted and/or modified content and/or the fact
that said adding, hiding, modification and/or
deletion occurred;

• secure management of limitations and/or

requirements concerning content that may be

(0064091.01)

removed, hidden and/or deleted from content,
including the amount and/or degree of addition,
hiding, modification and/or deletion of content;

• providing notice to a provider or providers that

modification, hiding, addition and/or deletion has
occurred and/or the nature of said occurrence; and

• other control information concerned with

modification, addition, hiding, and/or deleting
provider content.

A provider may use this control information to establish an
opportunity for other users to add value to and/or maintain
existing content in a controlled way. For example, a provider of
software development tools may allow other users to add
commentary and/or similar and/or complementary tools to their
provided objects. A provider of movies may allow commentary
and/or promotional materials to be added to their materials. A
provider of CAD/CAM specifications to machine tool owners may
allow other users to modify objects containing instructions
associated with a specification to improve and/or translate said
instructions for use with their equipment. A database owner may
allow other users to add and/or remove records from a provided
database object to allow flexibility and/or maintenance of the
database.

Another benefit of introducing control information is the
opportunity for a provider to allow other users to alter content for
a new purpose. A provider may allow other users to provide
content in a new setting.

(0064091.01)

To attach this control information to content, a provider may
be provided with, or if allowed, design and implement, a method or
methods for an object that govern addition, hiding, modification
and/or deletion of content. Design and implementation of such one
or more methods may be performed using VDE software tools in
combination with a PPE 650. The provider may then attach the
method(s) to an object and/or provide them separately. A
permissions record 808 may include requirements associated with
this control information in combination with other control
information, or a separate permissions record 808 may be used.

An important aspect of adding or modifying content is the
choice of encryption/decryption keys and/or other relevant aspects
of securing new or altered content. The provider may specify in
their method(s) associated with these processes a technique or
techniques to be used for creating and/or selecting the
encryption/decryption keys and/or other relevant aspect of securing
new and/or altered content. For example, the provider may
include a collection of keys, a technique for generating new keys, a
reference to a load module that will generate keys, a protocol for
securing content, and/or other similar information.

Another important implication is the management of new
keys, if any are created and/or used. A provider may require that
such keys and reference to which keys were used must be
transmitted to the provider, or she may allow the keys and/or
securing strategy to remain outside a provider's knowledge and/or
control. A provider may also choose an intermediate course in

631

(0064091.01)

which some keys must be transmitted and others may remain
outside her knowledge and/or control.

An additional aspect related to the management of keys is
the management of permissions associated with an object resulting
from the addition, hiding, modification and/or deletion of content.
A provider may or may not allow a VDE chain of control
information user to take some or all of the VDE rules and control
information associated with granting permissions to access and/or
manipulate VDE managed content and/or rules and control
information associated with said resulting object. For example, a
provider may allow a first user to control access to new content in
an object, thereby requiring any other user of that portion of
content to receive permission from the first user. This may or may
not, at the provider's discretion, obviate the need for a user to
obtain permission from the provider to access the object at all.

Keys associated with addition, modification, hiding and/or
deletion may be stored in an independent permissions record or
records 808. Said permissions record(s) 808 may be delivered to a
provider or providers and potentially merged with an existing
permissions record or records, or may remain solely under the
control of the new content provider. The creation and content of
an initial permissions record 808 and any control information over
the permissions record(s) are controlled by the method(s)
associated with activities by a provider. Subsequent modification
and/or use of said permission record(s) may involve a provider's
method(s), user action, or both. A user's ability to modify and/or
use permissions record(s) 808 is dependent on, at least in part, the

632

(0064091.01)

senior control information associated with the permissions
record(s) of a provider.

Distribution Control information

To enable a broad and flexible commercial transaction
environment, providers should have the ability to establish firm
control information over a distribution process without unduly
limiting the possibilities of subsequent parties in a chain of
control. The distribution control information provided by the
present invention allow flexible positive control. No provider is
required to include any particular control, or use any particular
strategy, except as required by senior control information. Rather,
the present invention allows a provider to select from generic
control components (which may be provided as a subset of
components appropriate to a provider's specific market, for
example, as included in and/or directly compatible with, a VDE
application) to establish a structure appropriate for a given chain
of handling/control. A provider may also establish control
information on their control information that enable and limit
modifications to their control information by other users.

The administrative systems provided by the present
invention generate administrative "events" These "events"
correspond to activities initiated by either the system or a user
that correspond to potentially protected processes within VDE.
These processes include activities such as copying a permissions
record, copying a budget, reading an audit trail record, copying a
method, updating a budget, updating a permissions record,
updating a method, backing up management files, restoring

633

(0064091.01)

management files, and the like. Reading, writing, modifying,
updating, processing, and/or deleting information from any portion
of any VDE record may be administrative events. An
administrative event may represent a process that performs one or
more of the aforementioned activities on one or more portions of
one or more records.

When a VDE electronic appliance 600 encounters an
administrative event, that event is typically processed in
conjunction with a VDE PPE 650. As in the case of events
generally related to access and/or use of content, in most cases
administrative events are specified by content providers (including,
for example, content creators, distributors, and/or client
administrators) as an aspect of a control specified for an object,
group and/or class of objects.

For example, if a user initiates a request to distribute
permission to use a certain object from a desktop computer to a
notebook computer, one of the administrative events generated
may be to create a copy of a permissions record that corresponds to
the object. When this administrative event is detected by ROS
602, an EVENT method for this type of event may be present. If
an EVENT method is present, there may also be a meter, a billing,
and a budget associated with the EVENT method. Metering,
billing, and budgeting can allow a provider to enable and limit the
copying of a permissions record 808.

For example, during the course of processing a control
program, a meter, a billing, and a budget and/or audit records may

(0064091.01)

be generated and/or updated. Said audit records may record
information concerning circumstances surrounding an
administrative event and processing of said event. For example,
an audit record may contain a reference to a user and/or system
activity that initiated an event, the success or failure of processing
said event, the date and/or time, and/or other relevant
information.

Referring to the above example of a user with both a
desktop and notebook computer, the provider of a permissions
record may require an audit record each time a meter for copying
said permissions record is processed. The audit record provides a
flexible and configurable control and/or recording environment
option for a provider.

In some circumstances, it may be desirable for a provider to
limit which aspects of a control component may be modified,
updated, and/or deleted. "Atomic element definitions' 1 may be used
to limit the applicability of events (and therefore the remainder of
a control process, if one exists) to certain "atomic elements' 1 of a
control component. For example, if a permissions record 808 is
decomposed into "atomic elements 0 on the fields described in
Figure 26, an event processing chain may be limited, for example,
to a certain number of modifications of expiration date/time
information by specifying only this field in an atomic element
definition. In another example, a permissions record 808 may be
decomposed into atomic elements based on control sets. In this
example, an event chain may be limited to events that act upon
certain control sets.

(0064091.01)

In some circumstances, it may be desirable for a provider to
control how administrative processes are performed. The provider
may choose to include in distribution records stored in secure
database 610 information for use in conjunction with a component
assembly 690 that controls and specifies, for example, how
processing for a given event in relation to a given method and/or
record should be performed. For example, if a provider wishes to
allow a user to make copies of a permissions record 808, she may
want to alter the permissions record internally. For example, in
the earlier example of a user with a desktop and a notebook
computer, a provider may allow a user to make copies of
information necessary to enable the notebook computer based on
information present in the desktop computer, but not allow any
further copies of said information to be made by the notebook VDE
node. In this example, the distribution control structure described
earlier would continue to exist on the desktop computer, but the
copies of the enabling information passed to the notebook
computer would lack the required distribution control structure to
perform distribution from the notebook computer. Similarly, a
distribution control structure may be provided by a content
provider to a content provider who is a distributor in which a
control structure would enable a certain number of copies to be
made of a VDE content container object along with associated
copies of permissions records, but the permissions records would
be altered (as per specification of the content provider, for
example) so as not to allow end-users who received distributor
created copies from making further copies for distribution to other
VDE nodes.

63F

(0064091.01)

Although the preceding example focuses on one particular
event (copying) under one possible case, similar processes may be
used for reading, writing, modifying, updating, processing, and/or
deleting information from records and/or methods under any
control relationship contemplated by the present invention. Other
examples include: copying a budget, copying a meter, updating a
budget, updating a meter, condensing an audit trail, and the like.

Creating Custom Methods

In the preferred embodiment of the present invention,
methods may be created "at will, 0 or aliased to another method.
These two modes contribute to the superior configurability,
flexibility, and positive control of the VDE distribution process.
Generally, creating a method involves specifying the required
attributes or parameters for the data portion of the method, and
then "typing" the method. The typing process typically involves
choosing one or more load modules to process any data portions of
a method. In addition to the method itself, the process of method
creation may also result in a method option subrecord for inclusion
in, or modification of, a permissions record, and a notation in the
distribution records. In addition to any "standard" load module(s)
required for exercise of the method, additional load modules, and
data for use with those load modules, may be specified if allowed.
These event processing structures control the distribution of the
method.

For example, consider the case of a security budget. One
form of a typical budget might limit the user to 10Mb of decrypted
data per month. The user wishes to move their rights to use the

637

(0064091.01)

relevant VDE content container object to their notebook. The
budget creator might have limited the notebook to the same
amount, half the original amount, a prorated amount based on the
number of moves budgeted for an ooject, etc. A distribute method
(or internal event processing structure) associated with the budget
allows the creator of the budget to make a determination as to the
methodology and parameters involved. Of course, different
distribution methods may be required for the case of
redistribution, or formal distribution of the method. The
aggregate of these choices is stored in a permissions record for the
method.

An example of the process steps used for the move of a
budget record might look something like this:

3) Decrement the Deer counter in the old record (the

original budget)

4) Increment the Encumbrance counter in the old

5) Write a distribution record

6) Write a Distribution Event Id to the new record

7) Increment the move meter

8) Decrement the move budget

9) Increment the Deer counter in the new record

2)

encumbrance)

1)

Check the move budget (e.g., to determine the

number of moves allowed)
Copy static fields to new record (e.g., as an

record

638

(0064091.01)

Creating a Budget

In the preferred embodiment, to create a budget, a user
manipulates a Graphical User Interface budget distribution
application (e.g., a VDE template application). The user fills out
any required fields for type(s) of budget, expiration cycle(s),
auditors), etc. A budget may be specified in dollars, deutsche
marks, yen, and/or in any other monetary or content measurement
schema and/or organization. The preferred embodiment output of
the application, normally has three basic elements. A notation in
the distribution portion of secure database 610 for each budget
record created, the actual budget records, and a method option
record for inclusion in a permissions record. Under some
circumstances, a budget process may not result in the creation of a
method option since an existing method option may be being used.
Normally, all of this output is protected by storage in secure
database 610 and/or in one or more administrative objects.

There are two basic modes of operation for a budget
distribution application in the preferred embodiment. In the first
case, the operator has an unlimited ability to specify budgets. The
budgets resulting from this type of activity may be freely used to
control any aspect of a distribution process for which an operator
has rights, including for use with "security* budgets such as
quantities limiting some aspect of usage. For example, if the
operator is a "regular person* he may use these budgets to control
his own utilization of objects based on a personal accounting model
or schedule. If the operator is an authorized user at VISA, the
resulting budgets may have broad implications for an entire

(0064091.01)

distribution system. A core idea is that this mode is controlled
strictly by an operator.

The second mode of operation is used to create "alias"
budgets. These budgets are coupled to a preexisting budget in an
operator's system. When an operator fills a budget, an
encumbrance is created on the aliased budget. When these types
of budgets are created, the output includes two method option
subrecords coupled together: the method option subrecord for the
aliased budget, and a method option subrecord for the newly
created budget. In most cases, the alias budget can be used in
place of the original budget if the budget creator is authorized to
modify the method options within the appropriate required method
record of a permissions record.

For example, assume that a user (client administrator) at a
company has the company's VISA budget on her electronic
appliance 600. She wants to distribute budget to a network of
company users with a variety of preexisting budgets and
requirements. She also wants to limit use of the company's VISA
budget to certain objects. To do this, she aliases a company
budget to the VISA budget. She then modifies (if so authorized)
the permissions record for all objects that the company will allow
their users to manipulate so that they recognize the company
budget in addition to, or instead of, the VISA budget. She then
distributes the new permissions records and budgets to her users.
The audit data from these users is then reduced against the
encumbrance on the company's VISA budget to produce a periodic
billing.

(0064091.01)

In another example, a consumer wants to control his family's
electronic appliance use of his VISA card, and prevent his children
from playing too many video games, while allowing unlimited use
of encyclopedias. In this case, he could create two budgets. The
first budget can be aliased to his VISA card, and might only be
used with encyclopedia objects (referenced to individual
encyclopedia objects and/or to one or more classes of encyclopedia
objects) that reference the aliased budget in their explicitly
modified permissions record. The second budget could be, for
example, a time budget that he redistributes to the family for use
with video game objects (video game class). In this instance, the
second budget is a "self-replenishing" security/control budget, that
allows, for example, two hours of use per day. The first budget
operates in the same manner as the earlier example. The second
budget is added as a new required method to permissions records
for video games. Since the time budget is required to access the
video games, an effective control path is introduced for requiring
the second budget - only permissions records modified to accept
the family budget can be used by the children for video games and
they are limited to two hours per day.

Sharing and Distributing Rights and Budgets
Move

The VDE "move" concept provided by the preferred
embodiment covers the case of "friendly sharing" of rights and
budgets. A typical case of "move" is a user who owns several
machines and wishes to use the same objects on more than one of
them. For example, a user owns a desktop and a notebook
computer. They have a subscription to an electronic newspaper

641

(0064091.01)

that they wish to read on either machine, i.e., the user wishes to
move rights from one machine to the other.

An important concept within "move" is the idea of
independent operation. Any electronic appliance 600 to which
rights have been moved may contact distributors or clearinghouses
independently. For example, the user mentioned above may want
to take their notebook on the road for an extended period of time,
and contact clearinghouses and distributors without a local
connection to their desktop.

To support independent operation, the user should be able to
define an account with a distributor or clearinghouse that is
independent of the electronic appliance 600 she is using to
connect. The transactions must be independently traceable and
reconcilable among and between machines for both the end user
and the clearinghouse or distributor. The basic operations of
moving rights, budgets, and bitmap or compound meters between
machines is also supported.

Redistribution

Redistribution forms a UDE middle ground between the
"friendly sharing* of "move," and formal distribution.
Redistribution can be thought of as "anonymous distribution" in
the sense that no special interaction is required between a creator,
clearinghouse, or distributor and a redistributor. Of course, a
creator or distributor does have the ability to limit or prevent
redistribution.

642

(0064091.01)

Unlike the "move 44 concept, redistribution does not imply
independent operation. The redistributor serves as one point of
contact for users receiving redistributed rights and/or budgets, etc.
These users have no knowledge of, or access to, the clearinghouse
(or and/or distributor) accounts of the redistributor. The
redistributor serves as an auditor for the rights and/or budgets,
etc. that they redistribute, unless specifically overridden by
restrictions from distributors and/or clearinghouses. Since
redistributees (recipients of redistributed rights and/or budgets,
etc.) would place a relatively unquantifiable workload on
clearinghouses, and furthermore, since a redistributor would be
placing himself at an auditable risk (responsible for all
redistributed rights and/or budgets, etc.), the audit of rights,
budgets, etc. of redistributees by redistributors is assumed as the
default case in the preferred embodiment.

Distribution

Distribution involves three types of entity. Creators usually
are the source of distribution. They typically set the control
structure "context 44 and can control the rights which are passed
into a distribution network. Distributors are users who form a
link between object (content) end users and object (content)
creators. They can provide a two-way conduit for rights and audit
data. Clearinghouses may provide independent financial services,
such as credit and/or billing services, and can serve as distributors
and/or creators. Through a permissions and budgeting process,
these parties collectively can establish fine control over the type
and extent of rights usage and/or auditing activities.

643

(0064091.01)

Encumbrance

An "encumbrance" is a special type of VDE budget. When
that a budget distribution of any type occurs, an "encumbrance"
may be generated. An encumbrance is indistinguishable from an
original budget for right exercise (e.g., content usage payment)
purposes, but is uniquely identified within distribution records as
to the amount of the encumbrance, and all necessary information
to complete a shipping record to track the whereabouts of an
encumbrance. For right exercise purposes, an encumbrance is
identical to an original budget; but for tracking purposes, it is
uniquely identifiable.

In the preferred embodiment of the present invention, a
Distribution Event ID will be used by user VDE nodes and by
clearinghouse services to track and reconcile encumbrances, even
in the case of asynchronous audits. That is, the "new"
encumbrance budget is unique from a tracking point of view, but
indistinguishable from a usage point of view.

Unresolved encumbrances are a good intermediate control
for a VDE distribution process. A suitable "grace period" can be
introduced during which encumbrances must be resolved. If this
period elapses, an actual billing or payment may occur. However,
even after the interval has expired and the billing and/or payment
made, an encumbrance may still be outstanding and support later
reconciliation. In this case, an auditor may allow a user to gain a
credit, or a user may connect to a VDE node containing an
encumbered budget, and resolve an amount as an internal credit.
In some cases, missing audit trails may concern a distributor

644

(0064091.01)

sufficiently to revoke redistribution privileges if encumbrances are
not resolved within a "grace period," or if there are repeated grace
period violations or if unresolved encumbrances are excessively
large.

Encumbrances can be used across a wide variety of
distribution modes. Encumbrances, when used in concert with
aliasing of budgets, opens important additional distribution
possibilities. In the case of aliasing a budget, the user places
himself in the control path for an object - an aliased budget may
only be used in conjunction with permissions records that have
been modified to recognize it. An encumbrance has no such
restrictions.

For example, a user may want to restrict his children's use
of his electronic, VDE node VISA budget. In this case, the user
can generate an encumbrance on his VISA budget for the
children's family alias budget, and another for his wife that is a
transparent encumbrance of the original VISA budget. BigCo may
use a similar mechanism to distribute VISA budget to department
heads, and aliased BigCo budget to users directly.

Account Numbers and User IDs

In the preferred embodiment, to control access to
clearinghouses, users are assigned account numbers at
clearinghouses. Account numbers provide a unique "instance"
value for a secure database record from the point of view of an
outsider. From the point of view of an electronic appliance 600
site, the user, group, or group/user ids provide the unique instance

645

(0064091.01)

of a record. For example, from the point of view of VISA, your
Gold Card belongs to account number #123456789. From the
point of view of the electronic appliance site (for example, a server
at a corporation), the Gold card might belong to user id 1023. In
organizations which have plural users and/or user groups using a
VDE node, such users and/or user groups will likely be assigned
unique user IDs. differing budgets and/or other user rights may
be assigned to different users and/or user groups and/or other VDE
control information may be applied on a differing manner to
electronic content and/or appliance usage by users assigned with
different such IDs. Of course, both a clearinghouse and a local site
will likely have both pieces of information, but "used data" versus
the "comment data" may differ based on perspective.

In the preferred embodiment case of "move," an account
number stored with rights stays the same. In the preferred
embodiment of other forms of distribution, a new account number
is required for a distributee. This may be generated automatically
by the system, or correspond to a methodology developed by a
distributor or redistributor. Distributors maintain account
numbers (and associated access secrets) in their local name
services for each distributee. Conversely, distributees' name
services may store account numbers based on user id for each
distributor. This record usually is moved with other records in the
case of move, or is generated during other forms of distribution.

Organizations (including families) may automatically assign
unique user IDs when creating control information (e.g., a budget)
for a new user or user group.

646

(0064091.01)

Requirements Record

In order to establish the requirements, and potentially
options, for exercising a right associated with a VDE content
container object before one or more required permissions records
are received for that object, a requirements record may exist in the
private header of such an object. This record will help the user
establish what they have, and what they need from a distributor
prior to forming a connection. If the requirements or possibilities
for exercising a particular right have changed since such an object
was published, a modified requirements record may be included in
a container with an object (if available and allowed), or a new
requirements record may be requested from a distributor before
registration is initiated. Distributors may maintain "catalogs"
online, and/or delivered to users, of collections of requirements
records and/or descriptive information corresponding to objects for
which they may have ability to obtain and/or grant rights to other
users.

Passing an Audit

In the preferred embodiment of VDE there may be at least
two types of auditing. In the case of budget distribution, billing
records that reflect consumption of a budget generally need to be
collected and processed. In the case of permissions distribution,
usage data associated with an object are also frequently required.

In order to effect control over an object, a creator may
establish the basic control information associated with an object.
This is done in the formulation of permissions, the distribution of
various security, administrative and/or financial budgets, and the

647

(0064091.01)

level of redistribution that is allowed, etc. Distributors (and
redistributors) may further control this process within the rights,
budgets, etc. (senior control information) they have received.

For example, an object creator may specify that additional
required methods may be added freely to their permissions
records, establish no budget for this activity, and allow unlimited
redistribution of this right. As an alternative example, a creator
may allow moving of usage rights by a distributor to half a dozen
subdistributors, each of whom can distribute 10,000 copies, but
with no redistribution rights being allowed to be allocated to
subdistributors' (redistributors') customers. As another example, a
creator may authorize the moving of usage rights to only 10 VDE
nodes, and to only one level of distribution (no redistribution).
Content providers and other contributors of control information
have the ability through the use of permissions records and/or
component assemblies to control rights other users are authorized
to delegate in the permissions records they send to those users, so
long as such right to control one, some, or all such rights of other
users is either permitted or restricted (depending on the control
information distribution model). It is possible and often desirable,
using VDE, to construct a mixed model in which a distributor is
restricted from controlling certain rights of subsequent users and
is allowed to control other rights. VDE control of rights
distribution in some VDE models will in part or whole, at least for
certain one or more "levels" of a distribution chain, be controlled
by electronic content control information providers who are either
not also providers of the related content or provide only a portion
of the content controlled by said content control information, for

648

(0064091.01)

example, in certain models, a clearinghouse might also serve as a
rights distribution agent who provides one or more rights to
certain value chain participants, which one or more rights may be
"attached" to one or more rights to use the clearinghouse's credit
(if said clearinghouse is, at least in part, a financial clearinghouse
(such a control information provider may alternatively, or in
addition, restrict other users' rights.

A content creator or other content control information
provider may budget a user (such as a distributor) to create an
unlimited number of permissions records for a content object, but
revoke this right and/or other important usage rights through an
expiration/termination process if the user does not report his usage
(provide an audit report) at some expected one or more points in
time and/or after a certain interval of time (and/or if the user fails
to pay for his usage or violates other aspects of the agreement
between the user and the content provider). This termination (or
suspension or other specified consequence) can be enforced, for
example, by the expiration of time-aged encryption keys which
were employed to encrypt one or more aspects of control
information. This same termination (or other specified
consequence such as budget reduction, price increase, message
displays on screen to users, messages to administrators, etc.) can
also be the consequence of the failure by a user or the users VDE
installation to complete a monitored process, such as paying for
usage in electronic currency, failure to perform backups of
important stored information (e.g., content and/or appliance usage
information, control information, etc.), failure to use a repeated
failure to use the proper passwords or other identifiers, etc.).

649

(0064091.01)

Generally, the collection of audit information that is
collected for reporting to a certain auditor can be enforced by
expiration and/or other termination processes. For example, the
user's VDE node may be instructed (a) from aii external source to
no longer perform certain tasks, (b) carries within its control
structure information informing it to no longer perform certain
tasks, or (c) is elsewise no longer able to perform certain tasks.
The certain tasks might comprise one or more enabling operations
due to a user's (or installation's) failure to either report said audit
information to said auditor and/or receive back a secure
confirmation of receipt and/or acceptance of said audit information.
If an auditor fails to receive audit information from a user (or
some other event fails to occur or occur properly), one or more
time-aged keys which are used, for example, as a security
component of an embodiment of the present invention, may have
their aging suddenly accelerated (completed) so that one or more
processes related to said time-aged keys can no longer be
performed.

Authorization Access Tags and Modification Access Tags

In order to enable a user VDE installation to pass audit
information to a VDE auditing party such as a Clearinghouse,
VDE allows a VDE auditing party to securely, electronically
communicate with the user VDE installation and to query said
installation for certain or all information stored within said
installation's secure sub-system, depending on said auditing
party's rights (said party shall normally be unable to access
securely stored information that said party is not expressly
authorized to access, that is one content provider will normally not

650

(0064091.01)

be authorized to access content usage information related to
content provided by a different content provider). The auditing
party asserts a secure secret (e.g., a secure tag) that represents the
set of rights of the auditor to access certain information
maintained by said subsystem. If said subsystem validates said
tag, the auditing party may then receive auditing information that
it is allowed to request and receive.

Great flexibility exists in the enforcement of audit trail
requirements. For example, a creator (or other content provider or
control information provider or auditor in an object's or audit
report's chain of handling) may allow changes by an auditor for
event trails, but not allow anyone but themselves to read those
trails, and limit the redistribution of this right to, for example, six
levels. Alternatively, a creator or other controlling party may give
a distributor the right to process, for example, 100,000 audit
records (and/or, for example, the right to process 12 audit records
from a given user) before reporting their usage. If a creator or
other controlling party desires, he may allow (and/or require)
separate (and containing different, a subset of, overlapping, or the
same information) audit "packets" containing audit information,
certain of said audit information to be processed by a distributor
and certain other of said audit information to be passed back to
the creator and/or other auditors (each receiving the same,
overlapping, a subset of, or different audit information). Similarly,
as long as allowed by, for example, an object creator, a distributor
(or other content and/or control information provider) may require
audit information to be passed back to it, for example, after every
50,000 audit records are processed (or any other unit of quantity

(0064091.01)

and/or after a certain time interval and/or at a certain
predetermined date) by a redistributor. In the preferred
embodiment, audit rules, like other control structures, may be
stipulated at any stage of a distribution chain of handling as long
as the right to stipulate said rules has not been restricted by a
more "senior" object and/or control information distributing (such
as an auditing) participant.

Audit information that is destined for different auditors may
be encrypted by different one or more encryption keys which have
been securely provided by each auditor's VDE node and
communicated for inclusion in a user's permissions record(s) as a
required step, for example, during object registration. This can
provide additional security to further ensure (beyond the use of
passwords and/or other identification information and other VDE
security features) that an auditor may only access audit
information to which he is authorized. In one embodiment,
encrypted (and/or unencrypted) "packets" of audit information (for
example, in the form of administrative objects) may be bound for
different auditors including a clearinghouse and/or content
providers and/or other audit information users (including, for
example, market analysts and/or list purveyors). The information
may pass successively through a single chain of handling, for
example, user to clearinghouse to redistributor to distributor to
publisher/object creator, as specified by VDE audit control
structures and parameters. Alternatively, encrypted (or, normally
less preferably, unencrypted) audit packets may be required to be
dispersed directly from a user to a plurality of auditors, some one
or more who may have the responsibility to "pass along" audit

652

(0064091.01)

packets to other auditors. In another embodiment, audit
information may be passed, for example, to a clearinghouse, which
may then redistribute all and/or appropriate subsets of said
information (and/or some processed result) to one or more other
parties, said redistribution employing VDE secure objects created
by said clearinghouse.

An important function of an auditor (receiver of audit
information) is to pass administrative events back to a user VDE
node in acknowledgement that audit information has been
received and/or "recognized." In the preferred embodiment, the
receipt and/or acceptance of audit information may be followed by
two processes. The first event will cause the audit data at a VDE
node which prepared an audit report to be deleted, or compressed
into, or added to, one or more summary values. The second event,
or set of events, will "inform" the relevant security (for example,
termination and/or other consequence) control information (for
example, budgets) at said VDE node of the audit receipt, modify
expiration dates, provide key updates, and/or etc. In most cases,
these events will be sent immediately to a site after an audit trail
is received. In some cases, this transmission may be delayed to,
for example, first allow processing of the audit trail and/or
payment by a user to an auditor or other party.

In the preferred embodiment, the administrative events for
content objects and independently distributed methods/component
assemblies are similar, but not necessarily identical. For example,
key updates for a budget may control encryption of a billing trail,
rather than decryption of object content. The billing trail for a

653

(0064091.01)

budget is in all respects a method event trail. In one embodiment,
this trail must include sufficient references into distribution
records for encumbrances to allow reconciliation by a
clearinghouse. This may occur, for example, if a grace period
elapses and the creator of a budget allows unresolved
encumbrances to ultimately yield automatic credits if an expired
encumbrance is "returned" to the creator.

Delivery of audit reports through a path of handling may be
in part insured by an inverse (return of information) audit method.
Many VDE methods have at least two pieces: a portion that
manages the process of producing audit information at a user's
VDE node; and a portion that subsequently acts on audit data. In
an example of the handling of audit information bound for a
plurality of auditors, a single container object is received at a
clearinghouse (or other auditor). This container may contain (a)
certain encrypted audit information that is for the use of the
clearinghouse itself, and (b) certain other encrypted audit
information bound for other one or more auditor parties. The two
sets of information may have the same, overlapping and in part
different, or entirely different, information content. Alternatively,
the clearinghouse VDE node may be able to work with some or all
of the provided audit information. The audit information may be,
in part, or whole, in some summary and/or analyzed form further
processed at the clearinghouse and/or may be combined with other
information to form a, at least in part, derived set of information
and inserted into one or more at least in part secure VDE objects
to be communicated to said one or more (further) auditor parties.
When an audit information container is securely processed at said

(0064091.01)

clearinghouse VDE node by said inverse (return) audit method, the
clearinghouse VDE node can create one or more VDE
administrative objects for securely carrying audit information to
other auditors while separately processing the secure audit
information that is specified for use by said clearinghouse. Secure
audit processes and credit information distribution between VDE
participants normally takes place within the secure VDE "black
box," that is processes are securely processed within secure VDE
PPE650 and audit information is securely communicated between
the VDE secure subsystems of vDE participants employing VDE
secure communication techniques (e.g., public key encryption, and
authentication).

This type of inverse audit method may specify the handling
of returned audit information, including, for example, the local
processing of audit information and/or the secure passing along of
audit information to one or more auditor parties. If audit
information is not passed to one or more other auditor parties as
may be required and according to criteria that may have been set
by said one or more other auditor parties and/or content providers
and/or control information providers during a permissions record
specification and/or modification process, the failure to, for
example, receive notification of successful transfer of required
audit information by an auditor party, e.g., a content provider, can
result in the disablement of at least some capability of the passing
through party's VDE node (for example, disablement of the ability
to further perform certain one or more VDE managed business
functions that are related to object(s) associated with said audit or
party). In this preferred embodiment example, when an object is

(0064091.01)

received by an auditor, it is automatically registered and
permissions record(s) contents are entered into the secure
management database of the auditor's VDE node.

One or more permissions records that manage the creation
and use of an audit report object (and may manage other aspects
of object use as well) may be received by a user's system during an
audit information reporting exchange (or other electronic
interaction between a user and an auditor or auditor agent). Each
received permissions record may govern the creation of the next
audit report object. After the reporting of audit information, a
new permissions record may be required at a user's VDE node to
refresh the capability of managing audit report creation and audit
information transfer for the next audit reporting cycle. In our
above example, enabling an auditor to supply one or more
permissions records to a user for the purpose of audit reporting
may require that an auditor (such as a clearinghouse) has received
certain, specified permissions records itself from "upstream"
auditors (such as, for example, content and/or other content control
information providers). Information provided by these upstream
permissions records may be integrated into the one or more
permissions records at an auditor VDE (e.g., clearinghouse)
installation that manage the permissions record creation cycle for
producing administrative objects containing permissions records
that are bound for users during the audit information reporting
exchange. If an upstream auditor fails to receive, and/or is unable
to process, required audit information, this upstream auditor may
fail to provide to the clearinghouse (in this example) the required
permissions record information which enables a distributor to

656

(0064091.01)

support the next permission record creation/auditing cycle for a
given one or more objects (or class of objects). As a result, the
clearinghouse's VDE node may be unable to produce the next
cycle's permissions records for users, and/or perform some other
important process. This VDE audit reporting control process may
be entirely electronic process management involving event driven
VDE activities at both the intended audit information receiver and
sender and employing both their secure PPE650 and secure VDE
communication techniques.

In the preferred embodiment, each time a user registers a
new object with her own VDE node, and/or alternatively, with a
remote clearinghouse and/or distributor VDE node, one or more
permissions records are provided to, at least in part, govern the
use of said object. The permissions records may be provided
dynamically during a secure UDE registration process (employing
the VDE installation secure subsystem), and/or may be provided
following an initial registration and received at some subsequent
time, e.g. through one or more separate secure VDE
communications, including, for example, the receipt of a physical
arrangement containing or otherwise carrying said information.
At least one process related to the providing of the one or more
permissions records to a user can trigger a metering event which
results in audit information being created reflecting the user's
VDE node's, clearinghouse's, and/or distributor's permissions
records provision process. This metering process may not only
record that one or more permissions records have been created. It
may also record the VDE node name, user name, associated object
identification information, time, date, and/or other identification

657

(0064091.01)

information. Some or all of this information can become part of
audit information securely reported by a clearinghouse or
distributor, for example, to an auditing content creator and/or
other content provider. This information can be reconciled by
secure VDE applications software at a receiving auditor's site
against a user's audit information passed through by said
clearinghouse or distributor to said auditor. For each metered one
or more permissions records (or set of records) that were created
for a certain user (and/or VDE node) to manage use of certain one
or more VDE object(s) and/or to manage the creation of VDE object
audit reports, it may be desirable that an auditor receive
corresponding audit information incorporated into an, at least in
part, encrypted audit report. This combination of metering of the
creation of permissions records; secure, encrypted audit
information reporting processes; secure VDE subsystem
reconciliation of metering information reflecting the creation of
registration and/or audit reporting permissions with received audit
report detail; and one or more secure VDE installation expiration
and/or other termination and/or other consequence processes;
taken together significantly enhances the integrity of the VDE
secure audit reporting process as a trusted, efficient, commercial
environment.

Secure Document Management Example

VDE 100 may be used to implement a secure document
management environment. The following are some examples of
how this can be accomplished.

(0064091.01)

In one example, suppose a law firm wants to use VDE 100
to manage documents. In this example, a law firm that is part of
a litigation team might use VDE in the following ways:

1. to securely control access to, and/or other usage of,
confidential client records,

2. to securely control access, distribution, and/or other
rights to documents and memoranda created at the
law firm,

3. to securely control access and other use of research
materials associated with the case,

4. to securely control access and other use, including
distribution of records, documents, and notes
associated with the case,

5. to securely control how other firms in the litigation
team may use, including change, briefs that have been
distributed for comment and review,

6. to help manage client billing.

The law firm may also use VDE to electronically file briefs with
the court (presuming the court is also VDE capable) including
providing secure audit verification of the ID (e.g., digital signature)
of filers and other information pertinent to said filing procedure.

In this example, the law firm receives in VDE content
containers documents from their client's VDE installation secure
subsystem(s). Alternatively, or in addition, the law firm may
receive either physical documents which may be scanned into

659

(0064091.01)

electronic form, and/or they receive electronic documents which
have not yet been placed in VDE containers. The electronic form
of a document is stored as a VDE container (object) associated
with the specific client and/or case. The VDE container
mechanism supports a hierarchical ordering scheme for organizing
files and other information within a container; this mechanism
may be used to organize the electronic copies of the documents
within a container, A VDE container is associated with specific
access control information and rights that are described in one or
more permissions control information sets (PERCs) associated with
that container. In this example, only those members of the law
firm who possess a VDE instance, an appropriate PERC, and the
VDE object that contains the desired document, may use the
document. Alternatively or in addition, a law firm member may
use a VDE instance which has been installed on the law firm's
network server. In this case, the member must be identified by an
appropriate PERC and have access to the document containing
VDE object (in order to use the server VDE installation). Basic
access control to electronic documents is enabled using the secure
subsystem of one or more user VDE installations.

VDE may be used to provide basic usage control in several
ways. First, it permits the "embedding" of multiple containers
within a single object. Embedded objects permit the "nesting" of
control structures within a container. VDE also extends usage
control information to an arbitrary granular level (as opposed to a
file based level provided by traditional operating systems) and
provides flexible control information over any action associated
with the information which can be described as a VDE controlled

(0064091.01)

process. For example, simple control information may be
associated with viewing the one or more portions of documents and
additional control information may be associated with editing,
printing and copying the same and/or different one or more
portions of these same documents.

In this example, a "client" container contains all documents
that have been provided by the client (documents received in other
containers can be securely extracted and embedded into the VDE
client container using VDE extraction and embedding capabilities).
Each document in this example is stored as an object within the
parent, client VDE container. The "client" container also has
several other objects embedded within it; one for each attorney to
store their client notes, one (or more) for research results and
related information, and at least one for copies of letters, work
papers, and briefs that have been created by the law firm. The
client container may also contain other information about the
client, including electronic records of billing, time, accounting, and
payments. Embedding VDE objects within a parent VDE content
container provides a convenient way to securely categorize and/or
store different information that shares similar control information.
All client provided documents may, for example, be subject to the
same control structures related to use and non-disclosure.
Attorney notes may be subject to control information, for example,
their use may be limited to the attorney who created the notes and
those attorneys to whom such creating attorney expressly grants
access rights. Embedded containers also provide a convenient
mechanism to control collections of dissimilar information. For
example, the research object(s) may be stored in the form of (or

661

(0064091.01)

were derived from) VDE "smart objects" that contain the results of
research performed by that object. Research results related to one
aspect of the case retrieved from a VDE enabled LEXIS site might
be encapsulated as one smart object; the results of another session
related to another (or the same) aspect of the case may be
encapsulated as a different object. Smart objects are used in this
example to help show that completely disparate and separately
delivered control information may be incorporated into a client
container as desired and/or required to enforce the rights of
providers (such as content owners).

Control structures may be employed to manage any variety
of desired granularities and/or logical document content groupings;
a document, page, paragraph, topically related materials, etc. In
this example, the following assumptions are made: client provided
documents are controlled at the page level, attorney notes are
controlled at the document level on an attorney by attorney basis,
court filings and briefs are controlled at a document level, research
information is controlled at whatever level the content provider
specifies at the time the research was performed, and certain
highly confidential information located in various of the above
content may be identified as subject to display and adding
comments only, and only by the lead partner attorneys, with only
the creator and/or embedder of a given piece of content having the
right to be otherwise used (printed, extracted, distributed, etc).

In general, container content in this example is controlled
with respect to distribution of rights. This control information are
associated at a document level for all internally generated

(0064091.01)

documents, at a page level for client level documents, and at the
level specified by the content provider for research documents.

VDE control information can be structured in either complex
or simple structures, depending on the participants desires. In
some cases, a VDE creator will apply a series of control structure
definitions that they prefer to use (and that are supported by the
VDE application managing the specification of rules and control
information, either directly, or through the use of certified
application compatible VDE component assemblies.

In this example, the law firm sets up a standard VDE client
content container for a new client at the time they accept the case.
A law firm VDE administrator would establish a VDE group for
the new client and add the VDE IDs of the attorneys at the firm
that are authorized to work on the case, as well as provide, if
appropriate, one or more user template applications. These
templates provide, for example, one or more user interfaces and
associated control structures for selection by users of additional
and/or alternative control functions (if allowed by senior control
information), entry of control parameter data, and/or performing
user specific administrative tasks. The administrator uses a
creation tool along with a predefined creation template to create
the container. This creation template specifies the document
usage (including distribution control information) for documents as
described above. Each electronic document from the client
(including letters, memoranda, E-mail, spreadsheet, etc.) are then
added to the container as separate embedded objects. Each new
object is created using a creation template that satisfies that the

663

(0064091.01)

default control structures specified with the container as required
for each new object of a given type.

As each attorney works on the case, they may enter notes
into an object stored within the client's VDE container. These
notes may be taken using a VDE aware word processor already in
use at the law firm. In this example, a VDE redirector handles
the secure mapping of the word processor file requests into the
VDE container and its objects through the use of VDE control
processes operating with one or more VDE PPEs. Attorney note
objects are created using the default creation template for the
document type with assistance from the attorney if the type cannot
be automatically determined from the content. This permits VDE
to automatically detect and protect the notes at the predetermined
level, e.g. document, page, paragraph.

Research can be automatically managed using VDE. Smart
objects can be, used to securely search out, pay for if necessary,
and retrieve information from VDE enabled information resources
on the information highway.

Examples of such resources might include LEXIS, Westlaw,
and other related legal databases. Once the information is
retrieved, it may be securely embedded in the VDE content client
container. If the smart object still contains unreleased
information, the entire smart object may be embedded in the
client's VDE container. This places the unreleased information
under double VDE control requirements: those associated with
releasing the information from smart object (such as payment

664

(0064091.01)

and/or auditing requirements) and those associated with access to,
or other usage of, client information of the specified type.

Briefs and other filings may be controlled in a manner
similar to that for attorney notes. The filings may be edited using
the standard word processors in the law firm; with usage control
structures controlling who may review, change, and/or add to the
document (or, in a more sophisticated example, a certain portion of
said document). VDE may also support electronic filing of briefs
by providing a trusted source for time/date stamping and
validation of filed documents.

When the client and attorney want to exchange confidential
information over electronic mail or other means, VDE can play an
important role in ensuring that information exchanged under
privilege, properly controlled, and not inappropriately released
and/or otherwise used. The materials (content) stored in a VDE
content container object will normally be encrypted. Thus
wrapped, a VDE object may be distributed to the recipient without
fear of unauthorized access and/or other use. The one or more
authorized users who have received an object are the only parties
who may open that object and view and/or manipulate and/or
otherwise modify its contents and VDE secure auditing ensures a
record of all such user content activities. VDE also permits the
revocation of rights to use client/attorney privileged information if
such action becomes necessary, for example, after an administrator
review of user usage audit information.

665

(0064091.01)

Large Organization Example

In a somewhat more general example, suppose an
organization (e.g., a corporation or government department) with
thousands of employees and numerous offices disposed throughout
a large geographic area wishes to exercise control over distribution
of information which belongs to said organization (or association).
This information may take the form of formal documents,
electronic mail messages, text files, multimedia files, etc,, which
collectively are referred to as "documents."

Such documents may be handled by people (referred to as
"users") and/or by computers operating on behalf of users. The
documents may exist both in electronic form for storage and
transmission and in paper form for manual handling.

These documents may originate wholly within the
organization, or may be created, in whole or in part, from
information received from outside the organization. Authorized
persons within the organization may choose to release documents,
in whole or in part, to entities outside the organization. Some
such entities may also employ VDE 100 for document control,
whereas others may not.

Document Control Policies

The organization as a whole may have a well-defined policy
for access control to, and/or other usage control of documents.
This policy may be based on a "lattice model" of information flow,
in which documents are characterized as having one or more
hierarchical "classification" security attributes 9903 and zero or

666

(0064091.01)

more non-hierarchical "compartment" security attributes, all of
which together comprise a sensitivity security attribute.

The classification attributes may designate the overall level
of sensitivity of the document as an element of an ordered set. For
example, the set "unclassified," "confidential," "secret," "top secret"
might be appropriate in a government setting, and the set "public,"
"internal," "confidential," "registered confidential" might be
appropriate in a corporate setting.

The compartment attributes may designate the document's
association with one or more specific activities within the
organization, such as departmental subdivisions (e.g., "research,"
"development," "marketing") or specific projects within the
organization.

Each person using an electronic appliance 600 would be
assigned, by an authorized user, a set of permitted sensitivity
attributes to designate those documents, or one or more portions of
certain document types, which could be processed in certain one or
more ways, by the person's electronic appliance. A document's
sensitivity attribute would have to belong to the user's set of per-
mitted sensitivity values to be accessible.

In addition, the organization may desire to permit users to
exercise control over specific documents for which the user has
some defined responsibility. As an example, a user (the
"originating user") may wish to place an "originator controlled"
("ORCON") restriction on a certain document, such that the

667

(0064091.01)

document may be transmitted and used only by those specific
other users whom he designates (and only in certain, expressly
authorized ways). Such a restriction may be flexible if the
"distribution list could be modified after the creation of the
document, specifically in the event of someone requesting
permission from the originating user to transmit the document
outside the original list of authorized recipients. The originating
user may wish to permit distribution only to specific users, defined
groups of users, defined geographic areas, users authorized to act
in specific organizational roles, or a combination of any or all such
attributes.

In this example, the organization may also desire to permit
users to define a weaker distribution restriction such that access
to a document is limited as above, but certain or all information
within the document may be extracted and redistributed without
further restriction by the recipients.

The organization and/or originating users may wish to know
to what uses or geographic locations a document has been
distributed. The organization may wish to know where documents
with certain protection attributes have been distributed, for
example, based on geographic information stored in site
configuration records and/or name services records.

A user may wish to request a "return receipt" for a
distributed document, or may wish to receive some indication of
how a document has been handled by its recipients (e.g., whether
it has been viewed, printed, edited and/or stored), for example, by

668

(0064091.01)

specifying one or more audit requirements (or methods known to
have audit requirements) in a PERC associated with such
document(s).

User Environment

In an organization (or associateion) such as that described
above, users may utilize a variety of electronic appliances 600 for
processing and managing documents. This may include personal
computers, both networked and otherwise, powerful single-user
workstations, and servers or mainframe computers. To provide
support for the control information described in this example, each
electronic appliance that participates in use and management of
VDE-protected documents may be enhanced with a VDE secure
subsystem supporting an SPE 503 and/or HPE 655.

In some organizations/where the threats to secure operation
are relatively low, an HPE 655 may suffice. In other organizations
(e.g., government defense), it may be necessary to employ an SPE
503 in all situations where VDE-protected documents are
processed. The choice of enhancement environment and
technology may be different in different of the organization. Even
if different types of PPE 650 are used within an organization to
serve different requirements, they may be compatible and may
operate on the same types (or subsets of types) of documents.

Users may employ application programs that are customized
to operate in cooperation with the VDE for handling of
VDE-protected documents. Examples of this may include
VDE-aware document viewers, VDE aware electronic mail

669

(0064091.01)

systems, and similar applications. Those programs may
communicate with the PPE 650 component of a user's electronic
appliance 600 to make VDE-protected documents available for use
while limiting the extent to which their contents may be copied,
stored, viewed, modified, and/or transmitted and/or otherwise
further distributed outside the specific electronic appliance.

Users may wish to employ commercial, off-the-shelf
("COTS") operating systems and application programs to process
the VDE-protected documents. One approach to permit the use of
COTS application programs and operating systems would be to
allow such use only for documents without restrictions on
redistribution. The standard VDE operating system redirector
would allow users to access VDE-protected documents in a manner
equivalent to that for files. In such an approach, however, a chain
of control for metering and/or auditing use may be "broken" to
some extent at the point that the protected object was made
available to the COTS application. The fingerprinting
(watermarking) techniques of VDE may be used to facilitate
further tracking of any released information.

A variety of techniques may be used to protect printing of
protected documents, such as, for example: server-based
decryption engines, special fonts for "fingerprinting,'' etc.

Another approach to supporting COTS software would use
the VDE software running on the user's electronic appliance to
create one or more "virtual machine'' environments in which COTS
operating system and application programs may run, but from

670

(0064091.01)

which no information may be permanently stored or otherwise
transmitted except under control of VDE. Such an environment
would permit VDE to manage all VDE-protected information, yet
may permit unlimited use of COTS applications to process that
information within the confines of a restricted environment. The
entire contents of such an environment could be treated by VDE
100 as an extension to any VDE-protected documents read into the
environment. Transmission of information out of the environment
could be governed by the same rules as the original document(s).

"Coarse-Grain* Control Capabilities

As mentioned above, an organization may employ
VDE-enforced control capabilities to manage the security,
distribution, integrity, and control of entire documents. Some
examples of these capabilities may include:

1) A communication channel connecting two or more
electronic appliances 600 may be assigned a set of
permitted sensitivity attributes. Only documents
whose sensitivity attributes belong to this set would
be permitted to be transmitted over the channel. This
could be used to support the Device Labels
requirement of the Trusted Computer System
Evaluation Criteria (TCSEC).

2) A writable storage device (e.g., fixed disk, diskette,
tape drive, optical disk) connected to or incorporated
in an electronic appliance 600 may be assigned a set
of permitted sensitivity attributes. Only documents

671

(0064091.01)

whose sensitivity attributes belong to this set would
be permitted to be stored on the device. This could be
used to support the TCSEC Device Labels
requirement.

A document may have a list of users associated with it
representing the users who are permitted to "handle"
the document. This list of users may represent, for
example, the only users who may view the document,
even if other users receive the document container,
they could not manipulate the contents. This could be
used to support the standard ORCON handling caveat.

A document may have an attribute designating its
originator and requiring an explicit permission to be
granted by an originator before the document's content
could be viewed. This request for permission may be
made at the time the document is accessed by a user,
or, for example, at the time one user distributes the
document to another user. If permission is not
granted, the document could not be manipulated or
otherwise used.

A document may have an attribute requiring that each
use of the document be reported to the document's
originator. This may be used by an originator to
gauge the distribution of the document. Optionally,
the report may be required to have been made
successfully before any use of the document is

672

(0064091.01)

permitted, to ensure that the use is known to the
controlling party at the time of use. Alternatively, for
example, the report could be made in a deferred
("batch") fashion.

A document may have an attribute requiring that each
use of the document be reported to a central document
tracking clearinghouse. This could be used by the
organization to track specific documents, to identify
documents used by any particular user and/or group of
users to track documents with specific attributes (e.g.,
sensitivity), etc. Optionally, for example, the report
may be required to have been made successfully before
any use of the document is permitted.

A VDE protected document may have an attribute
requiring that each use of the document generate a
"return receipt,* to an originator. A person using the
document may be required to answer specific
questions in order to generate a return receipt, for
example by indicating why the document is of interest,
or by indicating some knowledge of the document's
contents (after reading it). This may be used as
assurance that the document had been handled by a
person, not by any automated software mechanism.

A VDE protected document's content may be made
available to a VDE-unaware application program in
such a way that it is uniquely identifiable (traceable)

673

(0064091.01)

to a user who caused its release. Thus, if the released
form of the document is further distributed, its origin
could be determined. This may be done by employing
VDE "fingerprinting" for content r^ease. Similarly, a
printed VDE protected document may be marked in a
similar, VDE fingerprinted unique way such that the
person who originally printed the document could be
determined, even if copies have since been made.

Usage of VDE protected documents could be permitted
under control of budgets that limit (based on size, time
of access, etc.) access or other usage of document
content. This may help prevent wholesale disclosure
by limiting the number of VDE documents accessible
to an individual during a fixed time period. For
example, one such control might permit a user, for
some particular class of documents, to view at most
100 pages/day, but only print 10 pages/day and permit
printing only on weekdays between nine and five. As
a further example, a user might be restricted to only a
certain quantity of logically related, relatively
"contiguous" and/or some other pattern (such as
limiting the use of a database's records based upon the
quantity of records that share a certain identifier in
field) of VDE protected document usage to identify, for
example, the occurrence of one or more types of
excessive database usage (under normal or any
reasonable circumstances). As a result, VDE content
providers can restrict usage of VDE content to

674

(0064091.01)

acceptable usage characteristics and thwart and/or
identify (for example, by generating an exception
report for a VDE administrator or organization
supervisor) user attempts to inappropriately use, for
example, such an information database resource.

These control capabilities show some examples of how VDE
can be used to provide a flexible, interactive environment for
tracking and managing sensitive documents. Such an
environment could directly trace the flow of a document from
person to person, by physical locations, by organizations, etc. It
would also permit specific questions to be answered such as "what
persons outside the R&D department have received any
R&D-controlled document* Because the control information is
carried with each copy of a VDE protected document, and can
ensure that central registries are updated and/or that originators
are notified of document use, tracking can be prompt and accurate.

This contrasts with traditional means of tracking paper
documents: typically, a paper-oriented system of manually
collected and handled receipts is used. Documents may be
individually copy-numbered and signed for, but once distributed
are not actively controlled. In a traditional paper-oriented system,
it is virtually impossible to determine the real locations of
documents; what control can be asserted is possible only if all
parties strictly follow the handling rules (which are at best
inconvenient).

675

(0064091.01)

The situation is no better for processing documents within
the context of ordinary computer and network systems. Although
said systems can enforce access control information based on user
identity, and can provide auditing mechanisms for tracks g
accesses to files, these are low-level mechanisms that do not
permit tracking or controlling the flow of content. In such
systems, because document content can be freely copied and
manipulated, it is not possible to determine where document
content has gone, or where it came from. In addition, because the
control mechanisms in ordinary computer operating systems
operate at a low level of abstraction, the entities they control are
not necessarily the same as those that are manipulated by users.
This particularly causes audit trails to be cluttered with
voluminous information describing uninteresting activities.

Tine-Grain" Control Capabilities

In addition to controlling and managing entire documents,
users may employ customized VDE-aware application software to
control and manage individual modifications to documents.
Examples of these capabilities include the following:

1) A VDE content user may be permitted to append

further information to a VDE document to indicate a
proposed alternative wording. This proposed
alteration would be visible to all other users (in
addition to the original text) of the document but
would (for example) be able to be incorporated into the
actual text only by the document's owner.

676

(0064091.01)

2) A group of VDE users could be permitted to modify
one or more parts of a document in such a way that
each individual alteration would be unambiguously
traceable to the specific user who performed it. The
rights to modify certain portions of a document, and
the extension of differing sets of rights to different
users, allows an organization or secure environment to
provide differing permissions enabling different rights
to users of the same content.

3) A group of users could create a VDE document
incrementally, by building it from individual
contributions. These contributions would be bound
together within a single controlled document, but each
would be individually identified, for example, through
their incorporation in VDE content containers as
embedded container objects.

4) VDE control and management capabilities could be
used to track activities related to individual document
areas, for instance recording how many times each
section of a document was viewed.

Example - VDE Protected Content Repository

As the "Digital Highway" emerges, there is increased
discussion concerning the distribution of content across networks
and, in particular, public networks such as the Internet. Content
may be made available across public networks in several ways
including:

(0064091.01)

"mailing" content to a user in response to a request or
advance purchase (sending a token representing the
commitment of electronic funds or credit to purchase
an item);

• supporting content downloadable from an

organization's own content repository, such a
repository comprising, for example, a store of products
(such as software programs) and/or a store of
information resources, normally organized into one or
more databases; and

supporting a public repository into which other parties
can deposit their products for redistribution to
customers (normally by making electronic copies for
distribution to a customer in response to a request).

One possible arrangement of VDE nodes involves use of one
or more ••repositories." A repository, for example, may serve as a
location from which VDE participants may retrieve VDE content
containers. In this case, VDE users may make use of a network to
gain access to a -server" system that allows one or more VDE
users to access an object repository containing VDE content
containers.

Some VDE participants may create or provide content and/or
VDE content container objects, and then store content and/or
content objects at a repository so that other participants may
access such content from a known and/or efficiently organized (for

678

(0064091.01)

retrieval) location. For example, a VDE repository (portion of a
VDE repository, multiple VDE repositories, and/or providers of
content to such repositories) may advertise the availability of
certain types of VDE protected content by sending out email to a
list of network users. If the network users have secure VDE
subsystems in their electronic appliances, they may then choose to
access such a repository directly, or through one or more smart
agents and, using an application program for example, browse
(and/or electronically search) through the offerings of VDE
managed content available at the repository, download desirable
VDE content containers, and make use of such containers. If the
repository is successful in attracting users who have an interest in
such content, VDE content providers may determine that such a
repository is a desirable location(s) to make their content available
for easy access by users. If a repository, such as CompuServe,
stores content in non-encrypted (plaintext) form, it may encrypt
"outgoing" content on an "as needed" basis through placing such
content in VDE content containers with desired control
information, and may employ VDE secure communications
techniques for content communication to VDE participants.

VDE repositories may also offer other VDE services. For
example, a repository may choose to offer financial services in the
form of credit from the repository that may be used to pay fees
associated with use of VDE objects obtained from the repository.
Alternatively or in addition, a VDE repository may perform audit
information clearinghouse services on behalf of VDE creators or
other participants (e.g. distributors, redistributors, client
administrators, etc.) for usage information reported by VDE users.

679

(0064091.01)

Such services may include analyzing such usage information,
creating reports, collecting payments, etc.

A "full service" VDE repository may be very attractive to
both providers and users of VDE managed content. Providers of
VDE managed content may desire to place their content in a
location that is well known to users, offers credit, and/or performs
audit services for them. In this case, providers may be able to
focus on creating content, rather than managing the
administrative processes associated with making content available
in a "retail" fashion, collecting audit information from many VDE
users, sending and receiving bills and payments, etc. VDE users
may find the convenience of a single location (or an integrated
arrangement of repositories) appealing as they are attempting to
locate content of interest. In addition, a full service VDE
repository may serve as a single location for the reporting of usage
information generated as a consequence of their use of VDE
managed content received from a VDE repository and/or, for
example, receiving updated software (e.g. VDE-aware applications,
load modules, component assemblies, non VDE-aware applications,
etc.) VDE repository services may be employed in conjunction
with VDE content delivery by broadcast and/or on physical media,
such as CD-ROM, to constitute an integrated array of content
resources that may be browsed, searched, and/or filtered, as
appropriate, to fulfill the content needs of VDE users.

A public repository system may be established and
maintained as a non-profit or for-profit service. An organization
offering the service may charge a service fee, for example, on a per

680

(0064091.01)

transaction basis and/or as a percentage of the payments by,
and/or cost of, the content to users. A repository service may
supply VDE authoring tools to content creators, publishers,
distributors, and/or value -deling providers such that they may
apply rules and controls that define some or all of the guidelines
managing use of their content and so that they may place such
content into VDE content container objects.

A repository may be maintained at one location or may be
distributed across a variety of electronic appliances, such as a
variety of servers (e.g. video servers, etc.) which may be at
different locations but nonetheless constitute a single resource. A
VDE repository arrangement may employ VDE secure
communications and VDE node secure subsystems ("protected
processing environments"). The content comprising a given
collection or unit of information desired by a user may be spread
across a variety of physical locations. For example, content
representing a company's closing stock price and the activity (bids,
lows, highs, etc.) for the stock might be located at a World Wide
Web server in New York, and content representing an analysis of
the company (such as a discussions of the company's history,
personnel, products, markets, and/or competitors) might be located
on a server in Dallas. The content might be stored using VDE
mechanisms to secure and audit use. The content might be
maintained in clear form if sufficient other forms of security are
available at such one or more of sites (e.g. physical security,
password, protected operating system, data encryption, or other
techniques adequate for a certain content type). In the latter
instances, content may be at least in part encrypted and placed in

681

(0064091.01)

VDE containers as it streams out of a repository so as to enable
secure communication and subsequent VDE usage control and
usage consequence management.

A user might request information related to such a company
including stock and other information. This request might, for
example, be routed first through a directory or a more
sophisticated database arrangement located in Boston. This
arrangement might contain pointers to, and retrieve content from,
both the New York and Dallas repositories. This information
content may, for example, be routed directly to the user in two
containers (e.g. such as a VDE content container object from
Dallas and a VDE content container object from New York). These
two containers may form two VDE objects within a single VDE
container (which may contain two content objects containing the
respective pieces of content from Dallas and New York) when
processed by the user's electronic appliance. Alternatively, such
objects might be integrated together to form a single VDE
container in Boston so that the information can be delivered to the
user within a single container to simplify registration and control
at the user's site. The information content from both locations
may be stored as separate information objects or they may be
joined into a single, integrated information object (certain fields
and/or categories in an information form or template may be filled
in by one resource and other fields and/or categories may be filled
by information provided by a different resource). A distributed
database may manage such a distributed repository resource
environment and use VDE to secure the storing, communicating,
auditing, and/or use of information through VDE's electronic

682

(0064091.01)

enforcement of VDE controls. VDE may then be used to provide
both consistent content containers and content control services.

An example of one possible repository arrangement 3300 is
shown in Figure 78. In this example, a repository 3302 is
connected to a network 3304 that allows authors 3306A, 3306B,
3306C, and 3306D; a publisher 3308; and one or more end users
3310 to communicate with the repository 3302 and with each
other. A second network 3312 allows the publisher 3308, authors
3306E and 3306F, an editor 3314, and a librarian 3316 to
communicate with each other and with a local repository 3318.
The publisher 3308 is also directly connected to author 3306E. In
this example, the authors 3306 and publisher 3308 connect to the
repository 3302 in order to place their content into an environment
in which end users 3310 will be able to gain access to a broad
selection of content from a common location.

In this example, the repository has two major functional
areas: a content system 3302A and a clearinghouse system 3302B.
The content system 3302A is comprised of a user/author
registration system 3320, a content catalog 3322, a search
mechanism 3324, content storage 3326, content references 3328,
and a shipping system 3330 comprised of a controls packager 3322,
a container packager 3334, and a transaction system 3336. The
clearinghouse system 3302B is comprised of a user/author
registration system 3338; template libraries 3340; a control
structure library 3342; a disbursement system 3344; an
authorization system 3346 comprised of a financial system 3348
and a content system 3350; a billing system 3352 comprised of a

683

(0064091.01)

paper system 3354, a credit card system 3356, and an electronic
funds transfer (EFT) system 3358; and an audit system 3360
comprised of a receipt system 3362, a response system 3364, a
transaction system 3366, and an analysis system 3368.

In this example, author 3306A creates content in electronic
form that she intends to make broadly available to many end
users 3310, and to protect her rights through use of VDE. Author
3306A transmits a message to the repository 3302 indicating her
desire to register with the repository to distribute her content. In
response to this message, the user/author registration system 3320
of the content system 3302A, and the user/author registration
system 3338 of the clearinghouse system 3302B transmit requests
for registration information to author 3306A using the network
3304. These requests may be made in an on-line interactive mode;
or they may be transmitted in a batch to author 3306A who then
completes the requested information and transmits it as a batch to
the repository 3302; or some aspects may be handled on-line (such
as basic identifying information) and other information may be
exchanged in a batch mode.

Registration information related to the content system
3302A may, for example, include:

• a request that Author 3306A provide information
concerning the types and/or categories of content
proposed for storage and access using the repository,

• the form of abstract and/or other identifying
information required by the repository— in addition to

684

(0064091.01)

providing author 3306A with an opportunity to
indicate whether or not author 3306A generally
includes other information with content submissions
(such as promotional materials, del iled information
regarding the format of submitted content, any
equipment requirements that should or must be met
for potential users of submitted content to successfully
exploit its value, etc.),

requests for information from author 3306A
concerning where the content is to be located (stored
at the repository, stored at author 3306A's location,
stored elsewhere, or some combination of locations),

what general search characteristics should be
associated with content submissions (e.g. whether
abstracts should be automatically indexed for searches
by users of the repository, the maimer in which
content titles, abstracts, promotional materials,
relevant dates, names of performers and/or authors, or
other information related to content submissions may
or should be used in lists of types of content and/or in
response to searches, etc.), and/or

how content that is stored at and/or passed through
the repository should be shipped (including any
container criteria, encryption requirements,
transaction requirements related to content
transmissions, other control criteria, etc.)

685

(0064091.01)

The information requested from author 3306A by the
user/author registration system of the clearinghouse may, for

example, consist of:

VDE templates that author 3306A may or must make
use of in order to correctly format control information
such that, for example, the audit system 3360 of the
clearinghouse system 3302B is properly authorized to
receive and/or process usage information related to
content submitted by author 3306A,

VDE control information available from the
clearinghouse 3302B that may or must be used by
author 3306A (and/or included by reference) in some
or all of the VDE component assemblies created and/or
used by author 3306A associated with submitted
content,

the manner in which disbursement of any funds
associated with usage of content provided by, passed
through, or collected by the repository clearinghouse
system 3302B should be made,

the form and/or criteria of authorizations to use
submitted content and/or financial transactions
associated with content,

the acceptable forms of billing for use of content
and/or information associated with content (such as
analysis reports that may be used by others),

(0064091.01)

• how VDE generated audit information should be
received,

• how responses to requests from users should 'La
managed,

• how transactions associated with the receipt of audit
information should be formatted and authorized,

• how and what forms of analysis should be performed
on usage information, and/or

• under what circumstances (if any) usage information
and/or analysis results derived from VDE controlled
content usage information should be managed
(including to whom they may or must be delivered, the
form of delivery, any control information that may be
associated with use of such information, etc.)

The repository 3302 receives the completed registration
information from author 3306A and uses this information to build
an account profile for author 3306A. In addition, software
associated with the authoring process may be transmitted to
author 3306A. This software may, for example, allow author
3306A to place content into a VDE content container with
appropriate controls in such a way that many of the decisions
associated with creating such containers are made automatically to
reflect the use of the repository 3302 as a content system and/or a
clearinghouse system (for example, the location of content, the

687

(0064091.01)

party to contact for updates to content and/or controls associated
with content, the party or parties to whom audit information may
and/or must be transmitted and the pathways for such
communication, the character of audit information that is collected
during usage, the forms of payment that are acceptable for use of
content, the frequency of audit transmissions required, the
frequency of billing, the form of abstract and/or other identifying
information associated with content, the nature of at least a
portion of content usage control information, etc.)

Author 3306A makes use of a VDE authoring application to
specify the controls and the content that she desires to place
within a VDE content container, and produces such a container in
accordance with any requirements of the repository 3302, Such a
VDE authoring application may be, for example, an application
provided by the repository 3302 which can help ensure adherence
to repository content control requirements such as the inclusion of
one or more types of component assemblies or other VDE control
structures and/or required parameter data, an application received
from another party, and/or an application created by author 3306A
in whole or in part. Author 3306A then uses the network 3304 to
transmit the container and any deviations from author 3306A's
account profile that may relate to such content to the repository
3302. The repository 3302 receives the submitted content, and
then - in accordance with any account profile requirements,
deviations and/or desired options in this example — makes a
determination as to whether the content was produced within the
boundaries of any content and/or control information requirements
of the repository and therefore should be placed within content

688

(0064091.01)

storage or referenced by a location pointer or the like. In addition
to placing the submitted content into content storage or
referencing such content's location, the repository 3302 may also
make note of characteristics associated with such submitted
content in the search mechanism 3324, content references 3328,
the shipping system 3330, and/or the relevant systems of the
clearinghouse system 3302B related to templates and control
structures, authorizations, billing and/or payments, disbursements,
and/or audits of usage information.

During an authoring process, author 3306A may make use of
VDE templates. Such templates may be used as an aspect of a
VDE authoring application. For example, such templates may be
used in the construction of a container as described above.
Alternatively or in addition, such templates may also be used
when submitted content is received by the repository 3302.
References to such templates may be incorporated by author
3306A as an aspect of constructing a container for submitted
content (in this sense the container delivered to the repository may
be in some respects "incomplete" until the repository "completes"
the container through use of indicated templates). Such references
may be required for use by the repository 3302 (for example, to
place VDE control information in place to fulfill an aspect of the
repository's business or security models such as one or more map
tables corresponding to elements of content necessary for
interacting with other VDE control structures to accommodate
certain metering, billing, budgeting, and/or other usage and/or
distribution related controls of the repository).

689

(0064091.01)

For example, if content submitted by author 3306A consists
of a periodical publication, a template delivered to the author by
the repository 3302 when the author registers at the repository
may b. used as an aspect of an authoring application manipulated
by the author in creating a VDE content container for such a
periodical. Alternatively or in addition, a template designed for
use with periodical publications may be resident at the repository
3302, and such a template may be used by the repository to define,
in whole or in part, control structures associated with such a
container. For example, a VDE template designed to assist in
formulating control structures for periodical publications might
indicate (among other things) that:

• usage controls should include a meter method that
records each article within a publication that a user
opens,

• a certain flat rate fee should apply to opening the
periodical regardless of the number of articles opened,
and/or

• a record should be maintained of every advertisement
that is viewed by a user.

If content is maintained in a known and/or identifiable format,
such a template may be used during initial construction of a
container without author 3306A*s intervention to identify any map
tables that may be required to support such recording and billing
actions. If such a VDE template is unavailable to author 3306A,
she may choose to indicate that the container submitted should be

(0064091.01)

reconstructed (e.g. augmented) by the repository to include the
VDE control information specified in a certain template or class of
templates. If the format of the content is known and/or
identifiable by the repository, the repository may be able to
reconstruct (or "complete") such a container automatically.

One factor in a potentially ongoing financial relationship
between the repository and author 3306A may relate to usage of
submitted content by end users 3310. For example, author 3306A
may negotiate an arrangement with the repository wherein the
repository is authorized to keep 20% of the total revenues
generated from end users 3310 in exchange for maintaining the
repository services (e.g. making content available to end users
3310, providing electronic credit, performing billing activities,
collecting fees, etc.) A financial relationship may be recorded in
control structures in flexible and configurable ways. For example,
the financial relationship described above could be created in a
VDE container and/or installation control structure devised by
author 3306A to reflect author 3306A's financial requirements and
the need for a 20% split in revenue with the repository wherein all
billing activities related to usage of submitted content could be
processed by the repository, and control structures representing
reciprocal methods associated with various component assemblies
required for use of author 3306A*s submitted content could be used
to calculate the 20% of revenues. Alternatively, the repository
may independently and securely add and/or modify control
structures originating from author 3306A in order to reflect an
increase in price. Under some circumstances, author 3306A may
not be directly involved (or have any knowledge of) the actual price

691

(0064091.01)

that the repository charges for usage activities, and may concern
herself only with the amount of revenue and character of usage
analysis information that she requires for her own purposes, which
she specifies in VDE control information which governs the use,
and consequences of use, of VDE controlled content.

Another aspect of the relationship between authors and the
repository may involve the character of transaction recording
requirements associated with delivery of VDE controlled content
and receipt of VDE controlled content usage audit information.
For example, author 3306A may require that the repository make
a record of each user that receives a copy of content from the
repository. Author 3306A may further require collection of
information regarding the circumstances of delivery of content to
such users (e.g. time, date, etc.) In addition, the repository may
elect to perform such transactions for use internally (e.g. to
determine patterns of usage to optimize systems, detect fraud, etc.)

In addition to recording information regarding delivery of
such VDE controlled content, author 3306A may have required or
requested the repository to perform certain VDE container related
processes. For example, author 3306A may want differing abstract
and/or other descriptive information delivered to different classes
of users. In addition, author 3306A may wish to deliver
promotional materials in the same container as submitted content
depending on, for example, the character of usage exhibited by a
particular user (e.g. whether the user has ever received content
from author 3306A, whether the user is a regular subscriber to
author 3306A's materials, and/or other patterns that may be

692

(0064091.01)

relevant to author 3306A and/or the end user that are used to help
determine the mix of promotional materials delivered to a certain
VDE content end user.) In another example, author 3306A may
require that VDE fingerprinting be performed on such content
prior to transmission of content to an end user.

In addition to the form and/or character of content shipped
to an end user, authors may also require certain encryption
related processes to be performed by the repository as an aspect of
delivering content. For example, author 3306A may have required
that the repository encrypt each copy of shipped content using a
different encryption key or keys in order to help maintain greater
protection for content (e.g. in case an encryption key was "cracked"
or inadvertently disclosed, the "damage" could be limited to the
portion(s) of that specific copy of a certain content deliverable). In
another example, encryption functions may include the need to use
entirely different encryption algorithms and/or techniques in order
to fulfill circumstantial requirements (e.g. to comply with export
restrictions). In a further example, encryption related processes
may include changing the encryption techniques and/or algorithms
based on the level of trustedness and/or tamper resistance of the
VDE site to which content is delivered.

In addition to transaction information gathered when
content is shipped from a VDE repository to an end user, the
repository may be required to keep transaction information related
to the receipt of usage information, requests, and/or responses to
and/or from end users 3310. For example, author 3306A may
require the repository to keep a log of some or all connections

693

(0064091.01)

made by end users 3310 related to transmissions and or reception
of information related to the use of author 3306A's content (e.g.
end user reporting of audit information, end user requests for
additional permissions iniormation, etc.)

Some VDE managed content provided to end users 3310
through the repository may be stored in content storage. Other
information may be stored elsewhere, and be referenced through
the content references. In the case where content references are
used, the repository may manage the user interactions in such a
manner that all repository content, whether stored in content
storage or elsewhere (such as at another site), is presented for
selection by end users 3310 in a uniform way, such as, for
example, a consistent or the same user interface. If an end user
requests delivery of content that is not stored in content storage,
the VDE repository may locate the actual storage site for the
content using information stored in content references (e.g. the
network address where the content may be located, a URL, a
filesystem reference, etc.) After the content is located, the content
may be transmitted across the network to the repository or it may
be delivered directly from where it is stored to the requesting end
user. In some circumstances (e.g. when container modification is
required, when encryption must be changed, if financial
transactions are required prior to release, etc.), further processing
may be required by the repository in order to prepare such VDE
managed content and/or VDE content container for transmission to
an end user.

694

(0064091.01)

In order to provide a manageable user interface to the
content available to VDE repository end users 3310 and to provide
administrative information used in the determination of control
information packaged in VDE content containers shipped to end
users 3310, the repository in this example includes a content
catalog 3322. This catalog is used to record information related to
the VDE content in content storage, and/or content available
through the repository reflected in content references. The content
catalog 3322 may consist of titles of content, abstracts, and other
identifying information. In addition, the catalog may also indicate
the forms of electronic agreement and/or agreement VDE template
applications (offering optional, selectable control structures and/or
one or more opportunities to provide related parameter data) that
are available to end users 3310 through the repository for given
pieces of content in deciding, for example, options and/or
requirements for: what type(s) of information is recorded during
such content's use, the charge for certain content usage activities,
differences in charges based on whether or not certain usage
information is recorded and/or made available to the repository
and/or content provider, the redistribution rights associated with
such content, the reporting frequency for audit transmissions, the
forms of credit and/or currency that may be used to pay certain
fees associated with use of such content, discounts related to
certain volumes of usage, discounts available due to the presence
of rights associated with other content from the same and/or
different content providers, sales, etc. Furthermore, a VDE
repository content catalog 3322 may indicate some or all of the
component assemblies that are required in order to make use of
content such that the end user's system and the repository can

695

(0064091.01)

exchange messages to help ensure that any necessary VDE
component assemblies or other VDE control information is
identified, and if necessary and authorized, are delivered along
with such content to the end user (racher than, for example, being
requested later after their absence has been detected during a
registration and/or use attempt).

In order to make use of the VDE repository in this example,
an end user must register with the repository. In a manner
similar to that indicated above in the case of an author, a VDE
end user transmits a message from her VDE installation to the
repository across the network indicating that she wishes to make
use of the services provided by the repository (e.g. access content
stored at and/or referenced by the repository, use credit provided
by the repository, etc.) In response to this message, the
user/author registration systems of the content system 3302A and
the clearinghouse system 3302B of the repository transmit
requests for information from the end user (e.g. in an on-line
and/or batch interaction). The information requested by the
user/author registration system of the content system 3302A may
include type(s) of content that the user wishes to access, the
characteristics of the user's electronic appliance 600, etc. The
information requested by the user/author registration system of
the clearinghouse system 3302B may include whether the user
wishes to establish a credit account with the clearinghouse system
3302B, what other forms of credit the user may wish to use for
billing purposes, what other clearinghouses may be used by the
end user in the course of interacting with content obtained from
the repository, any general rules that the user has established

696

(0064091.01)

regarding their preferences for release and handling of usage
analysis information, etc. Once the end user has completed the
registration information and transmitted it to the repository, the
repository may construct an account profile for the user. In this
example, such requests and responses are handled by secure VDE
communications between secure VDE subsystems of both sending
and receiving parties.

In order to make use of the repository, the end user may
operate application software. In this example, the end user may
either make use of a standard application program (e.g. a World
Wide Web browser such as Mosaic), or they may make use of
application software provided by the repository after completion of
the registration process. If the end user chooses to make use of
the application software provided by the repository, they may be
able to avoid certain complexities of interaction that may occur if a
standard package is used. Although standardized packages are
often relatively easy to use, a customized package that
incorporates VDE aware functionality may provide an easier to
use interface for a user. In addition, certain characteristics of the
repository may be built in to the interface to simplify use of the
services (e.g. similar to the application programs provided by
America Online).

The end user may connect to the repository using the
network. In this example, after the user connects to the
repository, an authentication process will occur. This process can
either be directed by the user (e.g. through use of a login and
password protocol) or may be established by the end user's

697

(0064091.01)

electronic appliance secure subsystems interacting with a
repository electronic appliance in a VDE authentication. In either
event, the repository and the user must initially ensure that they
are connected to the correct other party. In thir example, if
secured information will flow between the parties, a VDE secured
authentication must occur, and a secure session must be
established. On the other hand, if the information to be
exchanged has already been secured and/or is available without
authentication (e.g. certain catalog information, containers that
have already been encrypted and do not require special handling,
etc.), the "weaker" form of login/password may be used.

Once an end user has connected to the VDE repository and
authentication has occurred, the user may begin manipulating and
directing their user interface software to browse through a
repository content catalog 3322 (e.g. lists of publications, software,
games, movies, etc.), use the search mechanism to help locate
content of interest, schedule content for delivery, make inquiries of
account status, availability of usage analysis information, billing
information, registration and account profile information, etc. If a
user is connecting to obtain content, the usage requirements for
that content may be delivered to them. If the user is connecting to
deliver usage information to the repository, information related to
that transmission may be delivered to them. Some of these
processes are described in more detail below.

In this example, when an end user requests content from the
VDE repository (e.g. by selecting from a menu of available
options), the content system 3302A locates the content either in

ggg (0064091.01)

the content references and/or in content storage. The content
system 3302A may then refer to information stored in the content
catalog 3322, the end user's account profile, and/or the author's
account profile to determine the precise nature of container format
and/or control information that may be required to create a VDE
content container to fulfill the end user's request. The shipping
system then accesses the clearinghouse system 3302Bto gather
any necessary additional control structures to include with the
container, to determine any characteristics of the author's and/or
end user's account profiles that may influence either the
transaction(s) associated with delivering the content to the end
user or with whether the transaction may be processed. If the
transaction is authorized, and all elements necessary for the
container are available, the controls packager forms a package of
control information appropriate for this request by this end user,
and the container packager takes this package of control
information and the content and forms an appropriate container
(including any permissions that may be codeliverable with the
container, incorporating any encryption requirements, etc.) If
required by the repository or the author's account profile,
transactions related to delivery of content are recorded by the
transaction system of the shipping system. When the container
and any transactions related to delivery have been completed, the
container is transmitted across the network to the end user.

An end user may make use of credit and/or currency
securely stored within the end user's VDE installation secure
subsystem to pay for charges related to use of VDE content
received from the repository, and/or the user may maintain a

699

(0064091.01)

secure credit and/or currency account remotely at the repository,
including a "virtual" repository where payment is made for the
receipt of such content by an end user. This later approach may
provide greater assurance for payment to the repository a> d/or
content providers particularly if the end user has only an HPE
based secure subsystem. If an end user electronic credit and/or
currency account is maintained at the repository in this example,
charges are made to said account based on end user receipt of
content from the repository. Further charges to such a remote end
user account may be made based on end user usage of such
received content and based upon content usage information
communicated to the repository clearinghouse system 3302B.

In this example, if an end user does not have a relationship
established with a financial provider (who has authorized the
content providers whose content may be obtained through use of
the repository to make use of their currency and/or credit to pay
for any usage fees associated with such provider's content) and/or
if an end user desires a new source of such credit, the end user
may request credit from the repository clearinghouse system
3302B. If an end user is approved for credit, the repository may
extend credit in the form of credit amounts (e.g. recorded in one or
more UDEs) associated with a budget method managed by the
repository. Periodically, usage information associated with such a
budget method is transmitted by the end user to the audit system
of the repository. After such a transmission (but potentially before
the connection is terminated), an amount owing is recorded for
processing by the billing system, and in accordance with the
repository's business practices, the amount of credit available for

700

(0064091.01)

use by the end user may be replenished in the same or subsequent
transmission. In this example, the clearinghouse of the repository
supports a billing system with a paper system for resolving
amounts owed through the mail, a credit card system for resolving
amounts owed through charges to one or more credit cards, and an
electronic funds transfer system for resolving such amounts
through direct debits to a bank account. The repository may
automatically make payments determined by the disbursement
system for monies owed to authors through use of similar means.
Additional detail regarding the audit process is provided below.

As indicated above, end users 3310 in this example will
periodically contact the VDE repository to transmit content usage
information (e.g. related to consumption of budget, recording of
other usage activities, etc.), replenish their budgets, modify their
account profile, access usage analysis information, and perform
other administrative and information exchange activities. In some
cases, an end user may wish to contact the repository to obtain
additional control structures. For example, if an end user has
requested and obtained a VDE content container from the
repository, that container is typically shipped to the end user
along with control structures appropriate to the content, the
author's requirements and account profile, the end user's account
profile, the content catalog 3322, and/or the circumstances of the
delivery (e.g. the first delivery from a particular author, a
subscription, a marketing promotion, presence and/or absence of
certain advertising materials, requests formulated on behalf of the
user by the user's local VDE instance, etc.) Even though, in this
example, the repository may have attempted to deliver all relevant

701

(0064091.01)

control structures, some containers may include controls structures
that allow for options that the end user did not anticipate
exercising (and the other criteria did not automatically select for
inclusion in the container) that the end user nonetheless
determines that they would like to exercise. In this case, the end
user may wish to contact the repository and request any additional
control information (including, for example, control structures)
that they will need in order to make use of the content under such
option.

For example, if an end user has obtained a VDE content
container with an overall control structure that includes an option
that records of the number of times that certain types of accesses
are made to the container and further bases usage fees on the
number of such accesses, and another option within the overall
control structure allows the end user to base the fees paid for
access to a particular container based on the length of time spent
using the content of the container, and the end user did not
originally receive controls that would support this latter form of
usage, the repository may deliver such controls at a later time and
when requested by the user. In another example, an author may
have made changes to their control structures (e.g. to reflect a
sale, a new discounting model, a modified business strategy, etc.)
which a user may or must receive in order to use the content
container with the changed control structures. For example, one
or more control structures associated with a certain VDE content
container may require a "refresh" for continued authorization to
employ such structures, or the control structures may expire. This
allows (if desired) a VDE content provider to periodically modify

702

(0064091.01)

and/or add to VDE control information at an end user's site
(employing the local VDE secure subsystem).

Audit information (related to usage of content received from
the repository) in this example is securely received from end users
3310 by the receipt system 3362 of the clearinghouse. As
indicated above, this system may process the audit information
and pass some or all of the output of such a process to the billing
system and/or transmit such output to appropriate content
authors. Such passing of audit information employs secure VDE
pathway of reporting information handling techniques. Audit
information may also be passed to the analysis system in order to
produce analysis results related to end user content usage for use
by the end user, the repository, third party market researchers,
and/or one or more authors. Analysis results may be based on a
single audit transmission, a portion of an audit transmission, a
collection of audit transmissions from a single end user and/or
multiple end users 3310, or some combination of audit
transmissions based on the subject of analysis (e.g. usage patterns
for a given content element or collection of elements, usage of
certain categories of content, payment histories, demographic
usage patterns, etc.) The response system 3364 is used to send
information to the end user to, for example, replenish a budget,
deliver usage controls, update permissions information, and to
transmit certain other information and/or messages requested
and/or required by an end user in the course of their interaction
with the clearinghouse. During the course of an end user's
connections and transmissions to and from the clearinghouse,
certain transactions (e.g. time, date, and/or purpose of a connection

703

(0064091.01)

and/or transmission) may be recorded by the transaction system of
the audit system to reflect requirements of the repository and/or
authors.

Certain audit information may be transmitted to authors.
For example, author 3306A may require that certain information
gathered from an end user be transmitted to author 3306A with no
processing by the audit system. In this case, the fact of the
transmission may be recorded by the audit system, but author
3306A may have elected to perform their own usage analysis
rather than (or in addition to) permitting the repository to access,
otherwise process and/or otherwise use this information. The
repository in this example may provide author 3306A with some of
the usage information related to the repository's budget method
received from one or more end users 3310 and generated by the
payment of fees associated with such users' usage of content
provided by author 3306A . In this case, author 3306A may be
able to compare certain usage information related to content with
the usage information related to the repository's budget method for
the content to analyze patterns of usage (e.g. to analyze usage in
light of fees, detect possible fraud, generate user profile
information, etc.) Any usage fees collected by the clearinghouse
associated with author 3306A's content that are due to author
3306A will be determined by the disbursement system of the
clearinghouse. The disbursement system may include usage
information (in complete or summary form) with any payments to
author 3306A resulting from such a determination. Such
payments and information reporting may be an entirely automated
sequence of processes occurring within the VDE pathway from end

(0064091.01)

user VDE secure subsystems, to the clearinghouse secure
subsystem, to the author's secure subsystem.

In this example, end users 3310 may transmit VDE
permissions and/or other control information to the repository
3302 permitting and/or denying access to usage information
collected by the audit system for use by the analysis system. This,
in part, may help ensure end user's privacy rights as it relates to
the usage of such information. Some containers may require, as
an aspect of their control structures, that an end user make usage
information available for analysis purposes. Other containers may
give an end user the option of either allowing the usage
information to be used for analysis, or denying some or all such
uses of such information. Some users may elect to allow analysis
of certain information, and deny this permission for other
information. End users 3310 in this example may, for example,
elect to limit the granularity of information that may be used for
analysis purposes (e.g. an end user may allow analysis of the
number of movies viewed in a time period but disallow use of
specific titles, an end user may allow release of their ZIP code for
demographic analysis, but disallow use of their name and address,
etc.) Authors and/or the repository 3302 may, for example, choose
to charge end users 3310 smaller fees if they agree to release
certain usage information for analysis purposes.

In this example, the repository 3302 may receive content
produced by more than one author. For example, author B, author
C, and author D may each create portions of content that will be
delivered to end users 3310 in a single container. For example,

705

(0064091.01)

author B may produce a reference work. Author C may produce a
commentary on author B's reference work, and author D may
produce a set of illustrations for author B's reference work and
author C's commentary. Author B may collect together author C's
and author D's content and add further content (e.g. the reference
work described above) and include such content in a single
container which is then transmitted to the repository 3302.
Alternatively, each of the authors may transmit their works to the
repository 3302 independently, with an indication that a template
should be used to combine their respective works prior to shipping
a container to an end user. Still alternatively, a container
reflecting the overall content structure may be transmitted to the
repository 3302 and some or all of the content may be referenced
in the content references rather than delivered to the repository
3302 for storage in content storage.

When an end user makes use of container content, their
content usage information may, for example, be segregated in
accordance with control structures that organize usage information
based at least in part on the author who created that segment.
Alternatively, the authors and/or the VDE repository 3302 may
negotiate one or more other techniques for securely dividing and/or
sharing usage information in accordance with VDE control
information. Furthermore, control structures associated with a
container may implement models that differentiate any usage fees
associated with portions of content based on usage of particular
portions, overall usage of the container, particular patterns of
usage, or other mechanism negotiated (or otherwise agreed to) by
the authors. Reports of usage information, analysis results,

706

(0064091.01)

disbursements, and other clearinghouse processes may also be
generated in a manner that reflects agreements reached by
repository 3302 participants (authors, end users 3310 and/or the
repository 3302) with respect to such processes. These agreements
may be the result of a VDE control information negotiation
amongst these participants.

In this example, one type of author is a publisher 3308. The
publisher 3308 in this example communicates over an "internal"
network with a VDE based local repository 3302 and over the
network described above with the public repository 3302. The
publisher 3308 may create or otherwise provide content and/or
VDE control structure templates that are delivered to the local
repository 3302 for use by other participants who have access to
the "internal" network. These templates may be used to describe
the structure of containers, and may further describe whom in the
publisher 3308's organization may take which actions with respect
to the content created within the organization related to
publication for delivery to (and/or referencing by) the repository
3302. For example, the publisher 3308 may decide (and control by
use of said temple) that a periodical publication will have a certain
format with respect to the structure of its content and the types of
information that may be included (e.g. text, graphics, multimedia
presentations, advertisements, etc.), the relative location and/or
order of presentation of its content, the length of certain segments,
etc. Furthermore, the publisher 3308 may, for example, determine
(through distribution of appropriate permissions) that the
publication editor is the only party that may grant permissions to
write into the container, and that the organization librarian is the.

707

(0064091.01)

only party that may index and/or abstract the content. In
addition, the publisher 3308 may, for example, allow only certain
one or more parties to finalize a container for delivery to the
repository 3302 in usable form (e.g. by maintaining control over
the type of permissions, including distribution permissions, that
may be required by the repository 3302 to perform subsequent
distribution activities related to repository end users 3310).

In this example, author 3306E is connected directly to the
publisher 3308, such that the publisher 3308 can provide
templates for that author that establish the character of containers
for author 3306E's content. For example, if author 3306E creates
books for distribution by the publisher 3308, the publisher 3308
may define the VDE control structure template which provides
control method options for author 3306E to select from and which
provides VDE control structures for securely distributing author
3306E's works. Author 3306E and the publisher 3308 may employ
VDE negotiations for the template characteristics, specific control
structures, and/or parameter data used by author 3306E. Author
3306E may then use the template(s) to create control structures
for their content containers. The publisher 3308 may then deliver
these works to the repository 3302 under a VDE extended
agreement comprising electronic agreements between author
3306E and the publisher 3308 and the repository 3302 and the
publisher 3308.

In this example, the publisher 3308 may also make author
3306E's work available on the local repository 3302. The editor
may authorize (e.g. through distribution of appropriate

(0064091.01)

permissions) author F to create certain portions of content for a
publication. In this example, the editor may review and/or modify
author Fs work and further include it in a container with content
provided by author 3306E (available on the local repository 3302).
The editor may or may not have permissions from the publisher
3308 to modify author 3306E's content (depending on any
negotiation(s) that may have occurred between the publisher 3308
and author 3306E, and the publisher 3308's decision to extend
such rights to the editor if permissions to modify author 3306E's
content are held in redistributable form by the publisher 3308).
The editor may also include content from other authors by (a)
using a process of granting permissions to authors to write directly
into the containers and/or (b) retrieving containers from the local
repository 3302 for inclusion. The local repository 3302 may also
be used for other material used by the publisher 3308's
organization (e.g. databases, other reference works, internal
documents, draft works for review, training videos, etc.), such
material may, given appropriate permissions, be employed in VDE
container collections of content created by the editor.

The librarian in this example has responsibility for building
and/or editing inverted indexes, keyword lists (e.g. from a
restricted vocabulary), abstracts of content, revision histories, etc.
The publisher 3308 may, for example, grant permissions to only
the librarian for creating this type of content. The publisher 3308
may further require that this building and/or editing occur prior to
release of content to the repositoiy 3302.

709

(0064091.01)

Example - Evolution and Transformation of VDE Managed
Content and Control Information

The VDE content control architecture allows content control
information (such as control information for gove^ing content
usage) to be shaped to conform to VDE control information
requirements of multiple parties. Formulating such multiple party
content control information normally involves securely deriving
control information from control information securely contributed
by parties who play a role in a content handling and control model
(e.g. content creators), providers), user(s), clearinghouse(s), etc.).
Multiple party control information may be necessary in order to
combine multiple pieces of independently managed VDE content
into a single VDE container object (particularly if such
independently managed content pieces have differing, for example
conflicting, content control information). Such secure combination
of VDE managed pieces of content will frequently require VDE's
ability to securely derive content control information which
accommodates the control information requirements, including any
combinatorial rules, of the respective VDE managed pieces of
content and reflects an acceptable agreement between such plural
control information sets.

The combination of VDE managed content pieces may result
in a VDE managed composite of content. Combining VDE
managed content must be carried out in accordance with relevant
content control information associated with said content pieces and
processed through the use of one or more secure VDE sub-system
PPEs 650. VDE's ability to support the embedding, or otherwise
combining, of VDE managed content pieces, so as to create a

710

(0064091.01)

combination product comprised of various pieces of VDE content,
enables VDE content providers to optimize their VDE electronic
content products. The combining of VDE managed content pieces
may result in a VDE content container which "holds" consolidated
content and/or concomitant, separate, nested VDE content
containers.

VDE's support for creation of content containers holding
distinct pieces of VDE content portions that were previously
managed separately allows VDE content providers to develop
products whose content control information reflects value
propositions consistent with the objectives of the providers of
content pieces, and further are consistent with the objectives of a
content aggregator who may be producing a certain content
combination as a product for commercial distribution. For
example, a content product "launched" by a certain content
provider into a commercial channel (such as a network repository)
may be incorporated by different content providers and/or
end-users into VDE content containers (so long as such
incorporation is allowed by the launched product's content control
information). These different content providers and/or end-users
may, for example, submit differing control information for
regulating use of such content. They may also combine in
different combinations a certain portion of launched content with
content received from other parties (and/or produced by
themselves) to produce different content collections, given
appropriate authorizations.

711

(0064091.01)

VDE thus enables copies of a given piece of VDE managed
content to be securely combined into differing consolidations of
content, each of which reflects a product strategy of a different
VDE content aggregator. VDE's content aggregation capab^ty
will result in a wider range of competitive electronic content
products which offer differing overall collections of content and
may employ differing content control information for content that
may be common to such multiple products. Importantly, VDE
securely and flexibly supports editing the content in, extracting
content from, embedding content into, and otherwise shaping the
content composition of, VDE content containers. Such capabilities
allow VDE supported product models to evolve by progressively
reflecting the requirements of "next" participants, in an electronic
commercial model. As a result, a given piece of VDE managed
content, as it moves through pathways of handling and branching,
can participate in many different content container and content
control information commercial models.

VDE content, and the electronic agreements associated with
said content, can be employed and progressively manipulated in
commercial ways which reflect traditional business practices for
non-electronic products (though VDE supports greater flexibility
and efficiency compared with most of such traditional models).
Limited only by the VDE control information employed by content
creators, other providers, and other pathway of handling and
control participants, VDE allows a "natural" and unhindered flow
of, and creation of, electronic content product models. VDE
provides for this flow of VDE products and services through a
network of creators, providers, and users who successively and

712

(0064091.01)

securely shape and reshape product composition through content
combining, extracting, and editing within a Virtual Distribution
Environment.

VDE provides means to securely combine content provided
at different times, by differing sources, and/or representing
differing content types. These types, timings, and/or different
sources of content can be employed to form a complex array of
content within a VDE content container. For example, a VDE
content container may contain a plurality of different content
container objects, each containing different content whose usage
can be controlled, at least in part, by its own container's set of
VDE content control information.

A VDE content container object may, through the use of a
secure VDE sub-system, be "safely" embedded within a "parent"
VDE content container. This embedding process may involve the
creation of an embedded object, or, alternatively, the containing,
within a VDE content container, of a previously independent and
now embedded object by, at minimum, appropriately referencing
said object as to its location.

An embedded content object within a parent VDE content
container:

(1) may have been a previously created VDE content
container which has been embedded into a parent VDE
content container by securely transforming it from an
independent to an embedded object through the secure

713

(0064091.01)

processing of one or more VDE component assemblies within
a VDE secure sub-system PPE 650. In this instance, an
embedded object may be subject to content control
information, including one or more permissions records
associated with the parent container, but may not, for
example, have its own content control information other
than content identification information, or the embedded
object may be more extensively controlled by its own content
control information (e.g. permissions records).

(2) may include content which was extracted from
another VDE content container (along with content control
information, as may be applicable) for inclusion into a
parent VDE content container in the form of an embedded
VDE content container object. In this case, said extraction
and embedding may use one or more VDE processes which
run securely within a VDE secure sub-system PPE 650 and
which may securely remove (or copy) the desired content
from a source VDE content container and place such content
in a new or existing container object, either of which may be
or become embedded into a parent VDE content container.

(3) may include content which was first created and
then placed in a VDE content container object. Said
receiving container may already be embedded in a parent
VDE content container and may already contain other
content. The container in which such content is placed may
be specified using a VDE aware application which interacts
with content and a secure VDE subsystem to securely create

(0064091.01)

such VDE container and place such content therein followed
by securely embedding such container into the destination,
parent container. Alternatively, content may be specified
without the use of a VDE aware application, and then
manipulated using a VDE aware application in order to
manage movement of the content into a VDE content
container. Such an application may be a VDE aware word
processor, desktop and/or multimedia publishing package,
graphics and/or presentation package, etc. It may also be an
operating system function (e.g. part of a VDE aware
operating system or mini-application operating with an O/S
such as a Microsoft Windows compatible object packaging
application) and movement of content from "outside" VDE to
within a VDE object may, for example, be based on a "drag
and drop" metaphor that involves "dragging" a file to a VDE
container object using a pointing device such as a mouse.
Alternatively, a user may "cut" a portion of content and
"paste" such a portion into a VDE container by first placing
content into a "clipboard," then selecting a target content
object and pasting the content into such an object. Such
processes may, at the direction of VDE content control
information and under the control of a VDE secure
subsystem, put the content automatically at some position in
the target object, such as at the end of the object or in a
portion of the object that corresponds to an identifier carried
by or with the content such as a field identifier, or the
embedding process might pop-up a user interface that allows
a user to browse a target object's contents and/or table of
contents and/or other directories, indexes, etc. Such

715

(0064091.01)

processes may further allow a user to make certain decisions
concerning VDE content control information (budgets
limiting use, reporting pathway(s), usage registration
requirements, etc.) to be applied to such embedded content
and/or may involve selecting the specific location for
embedding the content, all such processes to be performed as
transparently as practical for the application.

(4) may be accessed in conjunction with one or more
operating system utilities for object embedding and linking,
such as utilities conforming to the Microsoft OLE standard.
In this case, a VDE container may be associated with an
OLE "link " Accesses (including reading content from, and
writing content to) to a VDE protected container may be
passed from an OLE aware application to a VDE aware OLE
application that accesses protected content in conjunction
with control information associated with such content.

A VDE aware application may also interact with component
assemblies within a PPE to allow direct editing of the content of a
VDE container, whether the content is in a parent or embedded
VDE content container. This may include the use of a VDE aware
word processor, for example, to directly edit (add to, delete, or
otherwise modify) a VDE container's content. The secure VDE
processes underlying VDE container content editing may be
largely or entirely transparent to the editor (user) and may
transparently enable the editor to securely browse through (using
a VDE aware application) some or all of the contents of, and

716

(0064091.01)

securely modify one or more of the VDE content containers
embedded in, a VDE content container hierarchy.

The embedding processes for all VDE embedded content
containers normally involves securely identifying the appropriate
content control information for the embedded content. For
example, VDE content control information for a VDE installation
and/or a VDE content container may securely, and transparently
to an embedder (user), apply the same content control information
to edited (such as modified or additional) container content as is
applied to one or more portions (including all, for example) of
previously "in place" content of said container and/or securely
apply control information generated through a VDE control
information negotiation between control sets, and/or it may apply
control information previously applied to said content. Application
of control information may occur regardless of whether the edited
content is in a parent or embedded container. This same
capability of securely applying content control information (which
may be automatically and/or transparently applied), may also be
employed with content that is embedded into a VDE container
through extracting and embedding content, or through the moving,
or copying and embedding, of VDE container objects. Application
of content control information normally occurs securely within one
or more VDE secure sub-system PPEs 650. This process may
employ a VDE template that enables a user, through easy to use
GUI user interface tools, to specify VDE content control
information for certain or all embedded content, and which may
include menu driven, user selectable and/or definable options, such
as picking amongst alternative control methods (e.g. between

717

(0064091.01)

different forms of metering) which may be represented by different
icons picturing (symbolizing) different control functions and apply
such functions to an increment of VDE secured content, such as an
embedded object listed on an object directory display.

Extracting content from a VDE content container, or editing
or otherwise creating VDE content with a VDE aware application,
provides content which may be placed within a new VDE content
container object for embedding into said parent VDE container, or
such content may be directly placed into a previously existing
content container. All of these processes may be managed by
processing VDE content control information within one or more
VDE installation secure sub-systems.

VDE content container objects may be embedded in a parent
object through control information referenced by a parent object
permissions record that resolves said embedded object's location
and/or contents. In this case, little or no change to the embedded
object's previously existing content control information may be
required. VDE securely managed content which is relocated to a
certain VDE content container may be relocated through the use of
VDE sub-system secure processes which may, for example,
continue to maintain relocated content as encrypted or otherwise
protected (e.g. by secure tamper resistant barrier 502) during a
relocation/embedding process.

Embedded content (and/or content objects) may have been
contributed by different parties and may be integrated into a VDE
container through a VDE content and content control information

718

(0064091.01)

integration process securely managed through the use of one or
more secure VDE subsystems. This process may, for example,
involve one or more of:

(1.) securely applying instructions controlling the
embedding and/or use of said submitted content, wherein said
instructions were securely put in place, at least in part, by a
content provider and/or user of said VDE container. For example,
said user and/or provider may interact with one or more user
interfaces offering a selection of content embedding and/or control
options (e.g. in the form of a VDE template). Such options may
include which, and/or whether, one or more controls should be
applied to one or more portions of said content and/or the entry of
content control parameter data (such a time period before which
said content may not be used, cost of use of content, and/or pricing
discount control parameters such as software program suite sale
discounting). Once required and/or optional content control
information is established by a provider and/or user, it may
function as content control information which may be, in part or in
full, applied automatically to certain, or all, content which is
embedded in a VDE content container.

(2.) secure VDE managed negotiation activities, including
the use of a user interface interaction between a user at a
receiving VDE installation and VDE content control information
associated with the content being submitted for embedding. For
example, such associated control information may propose certain
content information and the content receiver may, for example,
accept, select from a plurality, reject, offer alternative control

719

(0064091.01)

information, and/or apply conditions to the use of certain content
control information (for example, accept a certain one or more
controls if said content is used by a certain one or more users
and/or if the volume of usage of certain content exceeds a certain

(3.) a secure, automated, VDE electronic negotiation process
involving VDE content control information of the receiving VDE
content container and/or VDE installation and content control
information associated with the submitted content (such as control
information in a permissions record of a contributed VDE object,
certain component assemblies, parameter data in one or more
UDEs and/or MDEs, etc.).

Content embedded into a VDE content container may be
embedded in the form of:

(1.) content that is directly, securely integrated into
previously existing content of a VDE content container (said
container may be a parent or embedded content container) without
the formation of a new container object. Content control
information associated with said content after embedding must be
consistent with any pre-embedding content control information
controlling, at least in part, the establishment of control
information required after embedding. Content control
information for such directly integrated, embedded content may be
integrated into, and/or otherwise comprise a portion of, control
information (e.g. in one or more permissions records containing
content control information) for said VDE container, and/or

level).

720

(0064091.01)

(2.) content that is integrated into said container in one or
more objects which are nested within said VDE content container
object. In this instance, control information for said content may
be carried by either the content control information for the p? rent
VDE content container, or it may, for example, be in part or in full
carried by one or more permissions records contained within
and/or specifically associated with one or more content containing
nested VDE objects. Such nesting of VDE content containing
objects within a parent VDE content container may employ a
number of levels, that is a VDE content container nested in a VDE
content container may itself contain one or more nested VDE
content containers.

VDE content containers may have a nested structure
comprising one or more nested containers (objects) that may
themselves store further containers and/or one or more types of
content, for example, text, images, audio, and/or any other type of
electronic information (object content may be specified by content
control information referencing, for example, byte offset locations
on storage media). Such content may be stored, communicated,
and/or used in stream (such as dynamically accumulating and/or
flowing) and/or static (fixed, such as predefined, complete file)
form. Such content may be derived by extracting a subset of the
content of one or more VDE content containers to directly produce
one or more resulting VDE content containers. VDE securely
managed content (e.g. through the use of a VDE aware application
or operating system having extraction capability) may be identified
for extraction from each of one or more locations within one or
more VDE content containers and may then be securely embedded

721

(0064091.01)

into a new or existing VDE content container through processes
executing VDE controls in a secure subsystem PPE 650. Such
extraction and embedding (VDE "exporting") involves securely
protecting, including securely executing, the VDE exporting
processes.

A VDE activity related to VDE exporting and embedding
involves performing one or more transformations of VDE content
from one secure form to one or more other secure forms. Such
transformation(s) may be performed with or without moving
transformed content to a new VDE content container (e.g. by
component assemblies operating within a PPE that do not reveal,
in unprotected form, the results or other output of such
transforming processes without further VDE processes governing
use of at least a portion of said content). One example of such a
transformation process may involve performing mathematical
transformations and producing results, such as mathematical
results, while retaining, none, some, or all of the content
information on which said transformation was performed. Other
examples of such transformations include converting a document
format (such as from a WordPerfect format to a Word for Windows
format, or an SGML document to a Postscript document), changing
a video format (such as a QuickTime video format to a MPEG
video format), performing an artificial intelligence process (such as
analyzing text to produce a summary report), and other processing
that derives VDE secured content from other VDE secured
content.

722

(0064091.01)

Figure 79 shows an example of an arrangement of
commercial VDE users. The users in this example create,
distribute, redistribute, and use content in a variety of ways. This
example shows how certain aspects of control information
associated with content may evolve as control information passes
through a chain of handling and control. These VDE users and
controls are explained in more detail below.

Creator A in this example creates a VDE container and provides
associated content control information that includes references
(amongst other things) to several examples of possible "types" of
VDE control information. In order to help illustrate this example,
some of the VDE control information passed to another VDE
participant is grouped into three categories in the following more
detailed discussion: distribution control information, redistribution
control information, and usage control information. In this
example, a fourth category of embedding control information can
be considered an element of all three of the preceding categories.
Other groupings of control information are possible (VDE does not
require organizing control information in this way). The content
control information associated with this example of a container
created by creator A is indicated on Figure 80 as C A . Figure 80
further shows the VDE participants who may receive enabling
control information related to creator A's VDE content container.
Some of the control information in this example is explained in
more detail below.

Some of the distribution control information (in this
example, control information primarily associated with creation,

723

(0064091.01)

modification, and/or use of control information by distributors)
specified by creator A includes: (a) distributors will compensate
creator A for each active user of the content of the container at the
rate of $10 per user per month, (b) distributors are budgeted such
that they may allow no more than 100 independent users to gain
access to such content (i.e. may create no more than 100
permissions records reflecting content access rights) without
replenishing this budget, and (c) no distribution rights may be
passed on in enabling control information (e.g. permissions records
and associated component assemblies) created for distribution to
other participants.

Some of the content redistribution control information (in
this example, control information produced by a distributor within
the scope permitted by a more senior participant in a chain of
handling and control and passed to user/providers (in this
example, user/distributors) and associated with controls and/or
other requirements associated with redistribution activities by
such user/distributors) specified by creator A includes: (a) a
requirement that control information enabling content access may
be redistributed by user/distributors no more than 2 levels, and
further requires that each redistribution decrease this value by
one, such that a first redistributor is restricted to two levels of
redistribution, and a second redistributor to whom the first
redistributor delivers permissions will be restricted to one
additional level of redistribution, and users receiving permissions
from the second redistributor will be unable to perform further
redistribution (such a restriction may be enforced, for example, by
including as one aspect of a VDE control method associated with

(0064091.01)

creating new permissions a requirement to invoke one or more
methods that: (i) locate the current level of redistribution stored,
for example, as an integer value in a UDE associated with such
one or more methods, (ii) compare the level of redistribution value
to a limiting value, and (iii) if such level of redistribution value is
less than the limiting value, increment such level of redistribution
value by one before delivering such a UDE to a user as an aspect
of content control information associated with VDE managed
content, or fail the process if such value is equal to such a limiting
value), and (b) no other special restrictions are placed on
redistributors.

Some of the usage control information (in this example,
control information that a creator requires a distributor to provide
in control information passed to users and/or user/distributore)
specified by creator A may include, for example: (a) no moves (a
form of distribution explained elsewhere in this document) of the
content are permitted, and (b) distributors will be required to
preserve (at a minimum) sufficient metering information within
usage permissions in order to calculate the number of users who
have accessed the container in a month and to prevent further
usage after a rental has expired (e.g. by using a meter method
designed to report access usages to creator A through a chain of
handling and reporting, and/or the use of expiration dates and/or
time-aged encryption keys within a permissions record or other
required control information).

Some of the extracting and/or embedding control information
specified by creator A in this example may include a requirement

725

(0064091.01)

that no extracting and/or embedding of the content is or will be
permitted by parties in a chain of handling and control associated
with this control information, except for users who have no
redistribution rights related to such VDE secured content provided
by Creator A. Alternatively, or in addition, as regards different
portions of said content, control information enabling certain
extraction and/or embedding may be provided along with the
redistribution rights described in this example for use by
user/distributors (who may include user content aggregators, that
is they may provide content created by, and/or received from,
different sources so as to create their own content products).

Distributor A in this example has selected a basic approach
that distributor A prefers when offering enabling content control
information to users and/or user/distributors that favors rental of
content access rights over other approaches. In this example,
some of the control information provided by creators will permit
distributor A to fulfill this favored approach directly, and other
control structures may disallow this favored approach (unless, for
example, distributor A completes a successful VDE negotiation
allowing such an approach and supporting appropriate control
information). Many of the control structures received by
distributor A, in this example, are derived from (and reflect the
results of) a VDE negotiation process in which distributor A
indicates a preference for distribution control information that
authorizes the creation of usage control information reflecting
rental based usage rights. Such distribution control information
may allow distributor A to introduce and/or modify control
structures provided by creators in such a way as to create control

79fi

fOOfi4O01 01)

information for distribution to users and/or user/distributors that,
in effect, "rent" access rights. Furthermore, distributor A in this
example services requests from user/distributors for redistribution
rights, and therefore also favors distribution control information
negotiated (or otherwise agreed to) with creators that permits
distributor A to include such rights as an aspect of control
information produced by distributor A.

In this example, distributor A and creator A may use VDE
to negotiate (for example, VDE negotiate) for a distribution
relationship. Since in this example creator A has produced a VDE
content container and associated control information that indicates
creator A's desire to receive compensation based on rental of usage
rights, and such control information further indicates that creator
A has placed acceptable restrictions in redistribution control

;ormation that distributor A may use to service requests from
user/distributors, distributor A may accept creator A's distribution
control information without any negotiated changes.

After receiving enabling distribution control information
from creator A, distributor A may manipulate an application
program to specify some or all of the particulars of usage control
information for users and/or user/distributors enabled by
distributor A (as allowed, or not prevented, by senior control
information). Distributor A may, for example, determine that a
price of $15 per month per user would meet distributor A's
business objectives with respect to payments from users for creator
A's container. Distributor A must specify usage control
information that fulfill the requirements of the distribution control

(0064091.01)

information given to distributor A by creator A. For example,
distributor A may include any required expiration dates and/or
time-aged encryption keys in the specification of control
information in acc .-dance with creator A's requirements. If
distributor A failed to include such information (or to meet other
requirements) in their specification of control information, the
control method(s) referenced in creator A's permissions record and
securely invoked within a PPE 650 to actually create this control
information would, in this example, fail to execute in the desired
way (e.g. based on checks of proposed values in certain fields, a
requirement that certain methods be included in permissions, etc.)
until acceptable information were included in distributor A's
control information specification.

In this example, user A may have established an account
with distributor A such that user A may receive VDE managed
content usage control information from distributor A. User A may
receive content usage control information from distributor A to
access and use creator A's content. Since the usage control
information has passed through (and been added to, and/or
modified by) a chain of handling including distributor A, the usage
control information requested from distributor A to make use of
creator A's content will, in this example, reflect a composite of
control information from creator A and distributor A. For
example, creator A may have established a meter method that will
generate an audit record if a user accesses creator A's VDE
controlled content container if the user has not previously accessed
the container within the same calendar month (e.g. by storing the
date of the user's last access in a UDE associated with an open

728

(0064091.01)

container event referenced in a method core of such a meter
method and comparing such a date upon subsequent access to
determine if such access has occurred within the same calendar
month). Distributor A may make use of such a meter method in a
control method (e.g. also created and/or provided by creator A, or
created and/or provided by distributor A) associated with opening
creator A's container that invokes one or more billing and/or
budget methods created, modified, referenced in one or more
permissions records and/or parameterized by distributor A to
reflect a charge for monthly usage as described above. If
distributor A has specified usage and/or redistribution control
information within the boundaries permitted by creator A's senior
control information, a new set of control information (shown as
D A (C A ) in Figure 80) may be associated with creator A f s VDE
content container when control information associated with that
container by distributor A are delivered to users and/or
user/distributors (user A, user B, and user/distributor A in this
example).

In this example, user A may receive control information
related to creator A's VDE content container from distributor A.
This control information may represent an extended agreement
between user A and distributor A (e.g. regarding fees associated
with use of content, limited redistribution rights, etc.) and
distributor A and creator A (e.g. regarding the character, extent,
handling, reporting, and/or other aspects of the use and/or creation
of VDE controlled content usage information and/or content control
information received, for example, by distributor A from creator A,
or vice versa, or in other VDE content usage information

729

(0064091 on

handling). Such an extended agreement is enforced by processes
operating within a secure subsystem of each participant's VDE
installation. The portion of such an extended agreement
representing control inform : ;ion of creator A as modified by
distributor A in this example is represented by D A (C A ), including,
for example, (a) control structures (e.g. one or more component
assemblies, one or more permissions records, etc.), (b) the
recording of usage information generated in the course of using
creator A's content in conformance with requirements stated in
such control information, (c) making payments (including
automatic electronic credit and/or currency payments "executed" in
response to such usage) as a consequence of such usage (wherein
such consequences may also include electronically, securely and
automatically receiving a bill delivered through use of VDE,
wherein such a bill is derived from said usage), (d) other actions by
user A and/or a VDE secure subsystem at user A's VDE
installation that are a consequence of such usage and/or such
control information.

In addition to control information D A (C A ), user A may
enforce her own control information on her usage of creator A's
VDE content container (within the limits of senior content control
information). This control information may include, for example,
(a) transaction, session, time based, and/or other thresholds placed
on usage such that if such thresholds (e.g. quantity limits, for
example, self imposed limits on the amount of expenditure per
activity parameter) are exceeded user A must give explicit
approval before continuing, (b) privacy requirements of user A
with respect to the recording and/or transmission of certain usage

730

(0064091.01)

related details relating to user A's usage of creator A's content, (c)
backup requirements that user A places on herself in order to help
ensure a preservation of value remaining in creator A's content
container and/or local store of electronic credit and/or currency
that might otherwise be lost due to system failure or other causes.
The right to perform in some or all of these examples of user A's
control information, in some examples, may be negotiated with
distributor A. Other such user specified control information may
be enforced independent of any control information received from
any content provider and may be set in relationship to a user's, or
more generally, a VDE installation's, control information for one or
more classes, or for all classes, of content and/or electronic
appliance usage. The entire set of VDE control information that
may be in place during user A's usage of creator A's content
container is referred to on Figure 80 as U A (D A (C A )). This set may
represent the control information originated by creator A, as
modified by distributor A, as further modified by user A, all in
accordance with control information from value chain parties
providing more senior control information, and therefore
constitutes, for this example, a "complete" VDE extended
agreement between user A, distributor A, and creator A regarding
creator A's VDE content container. User B may, for example, also
receive such control information D A (C A ) from distributor A, and
add her own control information in authorized ways to form the
set U B (D A (C A )).

User/distributor A may also receive VDE control information
from distributor A related to creator A's VDE content container.
User/distributor A may, for example, both use creator A's content

731

(0064091.01)

as a user and act as a redistributor of control information. In this
example, control information D A (C A ) both enables and limits these
two activities. To the extent permitted by D A (C A ), user/distributor
A may create their own control information based on D A (C A ) -
UD A (D A (C A )) - that controls both user/distributor A's usage (in a
manner similar to that described above in connection with user A
and user B), and control information redistributed by
user/distributor A (in a manner similar to that described above in
connection with distributor A). For example, if user/distributor A
redistributes UD A (D A (C A )) to user/distributor B, user/distributor B
may be required to report certain usage information to
user/distributor A that was not required by either creator A or
distributor A. Alternatively or in addition, user/distributor B may,
for example, agree to pay user/distributor A a fee to use creator A's
content based on the number of minutes user/distributor B uses
creator A's content (rather than the monthly fee charged to
user/distributor A by distributor A for user/distributor B's usage).

In this example, user/distributor A may distribute control
information UD A (D A (C A )) to user/distributor B that permits
user/distributor B to further redistribute control information
associated with creator A's content. User/distributor B may make
a new set of control information UD B (UD A (D A (C A ))). If the control
information UD A (D A (C A )) permits user/distributor B to redistribute,
the restrictions on redistribution from creator A in this example
will prohibit the set UD B (UD X (D A (C A ))) from including further
redistribution rights (e.g. providing redistribution rights to user B)
because the chain of handling from distributor A to
user/distributor A (distribution) and the continuation of that chain

732

(0064091.01)

from user/distributor A to user/distributor B (first level of
redistribution) and the further continuation of that chain to
another user represents two levels of redistribution, and, therefore,
a set UD B (UD A (D A (C A ))) may not, in this example, include further
redistribution rights.

As indicated in Figure 79, user B may employ content from
both user/distributor B and distributor A (amongst others). In this
example, as illustrated in Figure 80, user B may receive control
information associated with creator A's content from distributor A
and/or user/distributor B. In either case, user B may be able to
establish their own control information on D A (C A ) and/or
UD E (UD A (D A (C A ))), respectively (if allowed by such control
information. The resulting set(s) of control information,
U B (D A (C A )) and/or U B (UD B (UD A (D A (C A )))) respectively, may
represent different control scenarios, each of which may have
benefits for user B. As described in connection with an earlier
example, user B may have received control information from
user/distributor B along a chain of handling including
user/distributor A that bases fees on the number of minutes that
user B makes use of creator A's content (and requiring
user/distributor A to pay fees of $15 per month per user to
distributor A regardless of the amount of usage by user B in a
calendar month). This may be more favorable under some
circumstances than the fees required by a direct use of control
information provided by distributor A, but may also have the
disadvantage of an exhausted chain of redistribution and, for
example, further usage information reporting requirements
included in UD B (UD A (D A (C A ))). If the two sets of control

733

(0064091.01)

information D A (C A ) and UD B (UD A (D A (C A ))) permit (e.g. do not
require exclusivity enforced, for example, by using a registration
interval in an object registry used by a secure subsystem of user
B*s VDE installation to prevent deregistration anu reregistration
of different sets of control information related to a certain
container (or registration of plural copies of the same content
having different control information and/or being supplied by
different content providers) within a particular interval of time as
an aspect of an extended agreement for a chain of handling and
control reflected in D A (C A ) and/or UD B (UD A (D A (C A ))) ), user B may
have both sets of control information registered and may make use
of the set that they find preferable under a given usage scenario.

In this example, creator B creates a VDE content container
i associates a set of VDE control information with such
container indicated in Figure 81 as C B . Figure 81 further shows
the VDE participants who may receive enabling control
information related to creator B's VDE content container. In this
example, control information may indicate that distributors of
creator B's content: (a) must pay creator B $0.50 per kilobyte of
information decrypted by users and/or user/distributors authorized
by such a distributor, (b) may allow users and/or user/distributors
to embed their content container in another container while
maintaining a requirement that creator B receive $0.50 per
kilobyte of content decrypted, (c) have no restrictions on the
number of enabling control information sets that may be generated
for users and/or user/distributors, (d) must report information
concerning the number of such distributed control information sets
at certain time intervals (e.g. at least once per month), (e) may

734

(0064091.01)

create control information that allows users and/or
user/distributors to perform up to three moves of their control
information, (f) may allow redistribution of control information by
user/distributors up to three levels of redistribution, (g) may allow
up to one move per user receiving redistributed control
information from a user/distributor.

In this example, distributor A may request control
information from creator B that enables distributor A to distribute
control information to users and/or user/distributors that is
associated with the VDE container described above in connection
ith creator B. As stated earlier, distributor A has established a
business model that favors "rental" of access rights to users and
user/distributors receiving such rights from distributor A. Creator
B's distribution control information in this example does not force
a model including "rental" of rights, but rather bases payment
amounts on the quantity of content decrypted by a user or
user/distributor. In this example, distributor A may use VDE to
negotiate with creator B to include a different usage information
recording model allowed by creator B. This model may be based
on including one or more meter methods in control structures
associated with creator B's container that will record the number
of bytes decrypted by end users, but not charge users a fee based
on such decryptions; rather distributor A proposes, and creator B's
control information agrees to allow, a "rental" model to charge
users, and determines the amount of payments to creator B based
on information recorded by the bytes decrypted meter methods
and/or collections of payment from users.

735

(006409101)

Creator B may, for example, (a) accept such a new control
model with distributor A acting as the auditor (e.g. trusting a
control method associated with processing audit information
received by distributor A from users of creator B's content using a
VDE secure subsystem at distributor A's site, and further u,
securely calculate amounts owed by distributor A to creator B and,
for example, making payments to creator B using a mutually
acceptable budget method managing payments to creator B from
credit and/or currency held by distributor A), (b) accept such a new
control model based on distributor A's acceptance of a third parly
to perform all audit functions associated with this content, (c) may
accept such a model if information associated with the one or more
meter methods that record the number of bytes decrypted by users
is securely packaged by distributor B's VDE secure subsystem and
is securely, employing VDE communications techniques, sent to
creator B in addition to distributor A, and/or (d) other mutually
acceptable conditions. Control information produced by distributor
A based on modifications performed by distributor A as permitted
by C B are referred to in this example as D A (C B ).

User A may receive a set of control information D A (C B ) from
distributor A. As indicated above in connection with content
received from creator A via a chain of handling including
distributor A, user A may apply their own control information to
the control information D X (C B ), to the extent permitted by D A (C B ),
to produce a set of control information U A (D A (C B )). The set of
control information D A (C B ) may include one or more meter
methods that record the number of bytes of content from creator
B's container decrypted by user A (in order to allow correct

736

(006409101)

calculation of amounts owed by distributor A to creator B for user
A's usage of creator B's content in accordance with the control
information of C B that requires payment of $0.50 per kilobyte of
decrypted information), and a further meter method associated
with recording usage such that distributor A may gather sufficient
information to securely generate billings associated with user A's
usage of creator B f s content and based on a "rental" model (e.g.
distributor A may, for example, have included a meter method
that records each calendar month that user A makes use of creator
B's content, and relates to further control information that charges
user A $10 per month for each such month during which user A
makes use of such content.)

User/distributor A may receive control information C B
directly from creator B. In this case, creator B may use VDE to
negotiate with user/distributor A and deliver a set of control
in formation C B that may be the same or differ from that described
above in connection with the distribution relationship established
between creator B and distributor A. For example,
user/distributor A may receive control information C B that includes
a requirement that user/distributor A pay creator B for content
decrypted by user/distributor A (and any participant receiving
distributed and/or redistributed control information from
user/distributor A) at the rate of $0.50 per kilobyte. As indicated
above, user/distributor A also may receive control information
associated with creator B's VDE content container from distributor
A. In this example, user/distributor A may have a choice between
paying a "rental" fee through a chain of handling passing through
distributor A, and a fee based on the quantity of decryption

737

(0064091.01)

through a chain of handling direct to creator B. In this case,
user/distributor A may have the ability to choose to use either or
both of C B and D A (C B ). As indicated earlier in connection with a
chain of handling including creator A and distributor A,
user/distributor A may apply her own control information to the
extent permitted by C B and/or D A (C B ) to form the sets of control
information UD A (C B ) and UD A (D A (C B )), respectively.

As illustrated in Figure 81, in this example, user B may
receive control information associated with creator B's VDE
content container from six different sources: C B directly from
creator B, D A (C B ) from distributor A, UD B (UD A (D A (C B ))) and/or
UD„(UD A (C B )) from user/distributor B, D C (C B ) from distributor C,
and/or D B (D C (C B )) from distributor B. This represents six chains of
handling through which user B may enter into extended
agreements with other participants in this example. Two of these
chains pass through user/distributor B. Based on a VDE
negotiation between user/distributor B and user B, an extended
agreement may be reached (if permitted by control information
governing both parties) that reflects the conditions under which
user B may use one or both sets of control information. In this
example, two chains of handling and control may "converge" at
user/distributor B, and then pass to user B (and if control
information permits, later diverge once again based on distribution
and/or redistribution by user B).

In this example, creator C produces one or more sets of
control information C c associated with a VDE content container
created by creator C, as shown in Figure 82. Figure 82 further

738

(0064091.01)

shows the VDE participants who may receive enabling control
information related to creator C's VDE content container. The
content in such a container is, in this example, organized into a set
of text articles. In this example control information may include
one or more component assemblies that describe the articles
within such a container (e.g. one or more event methods
referencing map tables and/or algorithms that describe the extent
of each article). C c may further include, for example: (a) a
requirement that distributors ensure that creator C receive $1 per
article accessed by users and/or user/distributors, which payment
allows a user to access such an article for a period of no more than
six months (e.g. using a map-type meter method that is aged once
per month, time aged decryption keys, expiration dates associated
with relevant permissions records, etc.), (b) control information
that allows articles from creator C's container to be extracted and
embedded into another container for a one time charge per
extract/embed of $10, (c) prohibits extracted/embedded articles
from being reextracted, (d) permits distributors to create enabling
control information for up to 1000 users or user/distributors per
month, (e) requires that information regarding the number of
users and user/distributors enabled by a distributor be reported to
creator C at least once per week, (f) permits distributors to enable
users or user/distributors to perform up to one move of enabling
control information, and (g) permits up to 2 levels of redistribution
by user/distributors.

In this example, distributor B may establish a distribution
relationship with creator C. Distributor B in this example may
have established a business model that favors the distribution of

739

(0064091.01)

control information to users and user/distributors that bases
payments to distributor B based on the number of accesses
performed by such VDE participants. In this example, distributor
B may create a modified set D B (C C ) of enabling control information
for distribution to users and/or user/distributors. This set D B (C C )
may, for example, be based on a negotiation using VDE to
establish a fee of $0.10 per access per user for users and/or
user/distributors who receive control information from distributor
B. For example, if one or more map-type meter methods have
been included in C c to ensure that adequate information may be
gathered from users and/or user/distributors to ensure correct
payments to creator C by distributor B based on C c , such methods
may be preserved in the set D B (C C ), and one or more further meter
methods (and any other necessary control structures such as
billing and/or budget methods) may be included to record each
access such that the set D B (C C ) will also ensure that distributor B
will receive payments based on each access.

The client administrator in this example may receive a set of
content control information D B (C C ) that differs, for example, from
control information received by user B from distributor B. For
example, the client administrator may use VDE to negotiate with
distributor B to establish a set of control information for content
from all creators for whom distributor B may provide enabling
content control information to the client administrator. For
example, the client administrator may receive a set of control
information D B (C C ) that reflects the results of a VDE negotiation
between the client administrator and distributor B. The client
administrator may include a set of modifications to D B (C C ) and

740

(0064091 on

form a new set CA(D B (C C )) that includes control information that
may only be available to users and user/distributors within the
same organization as the client administrator (e.g. coworkers,
employees, consultants, etc.) In order to enforce such an
arrangement, CA(D B (C C )) may, for example, include control
structures that examine name services information associated with
a user or user/distributor during registration, establish a new
budget method administered by the client administrator and
required for use of the content, etc.

A distributor may provide redistribution rights to a client
administrator which allows said administrator to redistribute
rights to create permissions records for certain content
(redistribute rights to use said content) only within the
administrator's organization and to no other parties. Similarly,
such administrator may extend such a "limited" right to
redistribute to department and/or other administrator within his
organization such that they may redistribute such rights to use
content based on one or more restricted lists of individuals and/or
classes and/or other groupings of organization personnel as defined
by said administrator. This VDE capability to limit redistribution
to certain one or more parties and/or classes and/or other
groupings of VDE users and/or installations can be applied to
content by any VDE content provider, so long as such a control is
allowed by senior control information.

User D in this example may receive control information from
either the client administrator and/or user/distributor C.
User/distributor C may, for example, distribute control information

741

(0064091.01)

UD C (CA(D B (C C ))) to user D that includes a departmental budget
method managed by user/distributor C to allow user/distributor C
to maintain an additional level of control over the actions of user
D. In this case, UD C (CA(D B (C C ))) may include multiple levels of
organizational controls (e.g. controls originating with the client
administrator and further controls originating with
user/distributor C) in addition to controls resulting from a
commercial distribution channel. In addition or alternatively, the
client administrator may refuse to distribute certain classes of
control information to user D even if the client administrator has
adequate control information (e.g. control information distributed
to user/distributor C that allows redistribution to users such as
user D) to help ensure that control information flows through the
client administrator's organization in accordance with policies,
procedures, and/or other administrative processes.

In this example, user E may receive control information
from the client administrator and/or distributor B. For example,
user E may have an account with distributor B even though some
control information may be received from the client administrator.
In this case, user E may be permitted to request and receive
control information from distributor B without restriction, or the
client administrator may have, as a matter of organizational
policy, control information in place associated with user E's
electronic appliance that limits the scope of user E*s interaction
with distributor B. In the latter case, the client administrator
may, for example, have limited user E to registering control
information with the secure subsystem of user E f s electronic
appliance that is not available from the client administrator, is

742

(0064091.01)

from one or more certain classes of distributors and/or creators,
and/or has a cost for usage, such as a certain price point (e.g. $50
per hour of usage). Alternatively or in addition, the client
administrator may, for example, limit user E to receiving control
information from distributor B in which user E receives a more
favorable price (or other control information criteria) than the
price (or other criteria) available in control information from the
client administrator.

In this example, creator D may create a VDE content
container that is designed primarily for integration with other

r.tent (e.g. through use of a VDE extracting/embedding process),
for example, content provided by creator B and creator C. Figure
83 shows the VDE participants who may receive enabling control
information related a VDE content container produced by creator
D. Control information associated with creator D's content (C D in
Figure 83) may include, for example: (a) a requirement that
distributors make payment of either $1.50 per open per user, or
$25 per user for an unlimited number of opens, (b) a discount of
20% for any user that has previously paid for an unlimited number
of opens for certain other content created by creator D (e.g.
implemented by including one or more billing methods that
analyze a secure database of a user's VDE installation to
determine if any of such certain other containers are registered,
and further determines the character of rights held by a user
purchasing rights to this container), (c) a requirement that
distributors report the number of users and user/distributors
enabled by control information produced in accordance with C D
after such number exceeds 1000, (d) a requirement that

743

(0064091.01)

distributors limit the number of moves by users and/or
user/distributors to no more than one, (e) a requirement that
distributors limit user/distributors to no more than four levels of
redistribution, and (f) that distributors may create enabling control
information that permits other distributors to create control
information as distributors, but may not pass this capability to
such enabled distributors, and further requires that audit
information associated with use of control information by such
enabled distributors shall pass directly to creator D without
processing by such enabling distributor and that creator D shall
pay such an enabling distributor 10% of any payments received by
creator D from such an enabled distributor.

In this example, distributor C may receive VDE content
containers from creator B, creator C, and creator D, and associated
sets of control information C B , C c , and C D . Distributor C may use
the embedding control information and other control information
to produce a new container with two or more VDE objects received
from creator B, creator C, and creator D. In addition or
alternatively, distributor C may create enabling control
information for distribution to users and/or user/distributors (or in
the case of C D , for distributors) for such received containers
individually. For example, distributor C may create a container
including content portions (e.g. embedded containers) from creator
B, creator C, and creator D in which each such portion has control
information related to its access and use that records, and allows
an auditor to gather, sufficient information for each such creator to
securely and reliably receive payments from distributor C based on
usage activities related to users and/or user/distributors enabled

744

(0064091.01)

by distributor C. Furthermore, distributor C may negotiate using
VDE with some or all of such creators to enable a model in which
distributor C provides overall control information for the entire
container based on a "uniform" fee (e.g. calculated per month, per
access, from a combined model, etc.) charged to users and/or
user/distributors, while preserving the models of each such creator
with respect to payments due to them by distributor C based on
C B , C c , and/or C D , and, for example, resulting from each of their
differing models for the collection of content usage information and
any related (e.g. advertising) information.

In this example, distributor B may receive a VDE content
container and associated content control information C E from
creator E as shown in Figure 83. If C E permits, distributor B may
extract a portion of the content in such a container. Distributor B
may then, for example, embed this portion in a container received
from distributor C that contains an aggregation of VDE objects
created by creator B, creator C, and creator D. Depending on the
particular restrictions and/or permissions in the sets of control
information received from each creator and distributor C,
distributor B may, for example, be able to embed such an
extracted portion into the container received from distributor C as
an independent VDE object, or directly into content of "in place"
objects from creator B, creator C, and/or creator D. Alternatively,
or in addition, distributor B may, if permitted by C E , choose to
distribute such an extracted portion of content as an independent
VDE object.

745

(0064091.01)

User B may, in this example, receive a VDE content
container from distributor C that is comprised of VDE objects
created by creator B, creator C, and creator D. In addition, user B
may receive a VDE content container from distributor B that
contains the same content created by creator B, creator C, and
creator D in addition to one or more extracted/embedded portions
of content created by creator E. User B may base decisions
concerning which of such containers they choose to use (including
which embedded containers she may wish to use), and under
which circumstances, based on, for example, the character of such
extracted/embedded portions (e.g. multimedia presentations
illustrating potential areas of interest in the remainder of the
content, commentary explaining and/or expositing other elements
of content, related works, improved application software delivered
as an element of content, etc.); the quality, utility, and/or price (or
other attributes of control information) of such portions; and other
considerations which distinguish the containers and/or content
control information received, in this example, from distributor B
and distributor C.

User B may receive content control information from
distributor B for such a VDE content container that permits user
B to add and/or modify content contained therein. User B may, for
example, desire an ability to annotate content in such a container
using a VDE aware word processor or other application(s). If
permitted by senior control information, some or all of the content
may be available to user B for modification and/or additions. In
this case, user B is acting as a VDE creator for added and/or
modified content. User B may, for example, provide new control

746

(0064091.01)

information for such content, or may be required (or desire to)
make use of existing control information (or control information
included by senior members of a chain of handling for this
purpose) to manage such content (based on control information
related to such a container and/or contained objects).

In this example, VDE 100 has been used to enable an
environment including, for example, content distribution,
redistribution, aggregation (extracting and/or embedding),
reaggregation, modification, and usage. The environment in this
example allows competitive models in which both control
information and content may be negotiated for and have different
particulars based on the chain of handling through which control
information and/or content has been passed. Furthermore, the
environment in this example permits content to be added to,
and/or modified by, VDE participants receiving control information
that enables such activities.

747

(0064091.01)

Example - Content Distribution Through a Content VDE Chain of
Handling

Figure 84 reflects certain aspects of a relatively simple
model 3400 of VDE content distribution involving several
categories of VDE participants. In this instance, and for simplicity
of reference purposes, various portions of content . are represented
as discrete items in the form of VDE content container objects.
One or more of such content portions may also be integrated
together in a single object and may (as may the contents of any
VDE content container object if allowed by content control
information) be extracted in whole or part by a user. In this
example, publishers of historical/educational multimedia content
have created VDE content containers through the use of content
objects available from three content resources:

• a Video Library 3402 product available to Publishers on
optical discs and containing video clip VDE objects
representing various historical situations,

• an Internet Repository 3404 which stores history
information text and picture resources in VDE objects which
are available for downloading to Publishers and other users,
and

• an Audio library 3406, also available on optical discs, and
containing various pieces of musical performances and vocal
performances (for example, historical narrations) which can
be used alone or to accompany other educational historical
materials.

748

(0064091.01)

The information provided in library 3402, repository 3404, and
library 3406 may be provided to different publishers 3408(a),
3408(b), 3408(n). Publishers 3408 may, in turn, provide some
or all of the information they obtain to end users 3410.

In this example, the Video Library 3402 control information
allows publishers to extract objects from the Video Library product
container and content control information enabling use of each
extracted object during a calendar year if the object has a license
cost of $50 or less, and is shorter than 45 minutes in duration, and
20,000 copies of each of any other extracted objects, and further
requires all video objects to be VDE fingerprinted upon decryption.
The Audio Library 3404 has established similar controls that
match its business model. The Internet Repository 3406 VDE
containerizes, including encrypts, selected object content as it
streams out of the Repository in response to an online, user
request to download an object. The Repository 3406 may
fingerprint the identification of the receiving VDE installation into
its content prior to encryption and communication to a publisher,
and may further require user identification fingerprinting of their
content when decrypted by said Publisher or other content user.

The Publishers 3408 in this example have selected, under
terms and conditions VDE negotiated (or otherwise agreed to) with
the providing resources, various content pieces which they combine
together to form their VDE object container products for their
teacher customers. Publisher 3408(A) has combined video objects
extracted from the Video Library 3402 (as indicated by circles),
text and image objects extracted from the Internet Repository 3404

749

(0064091.01)

(indicated by diamonds), and one musical piece and one historical
narration extracted from the Audio Library 3406 (as indicated by
rectangles). Publisher 3408(B) has extracted a similar array of
objects 1 be combined into his product, and has further added
graphical elements (indicated by a hexagon) created by Publisher
3408(B) to enhance the product. Publisher 3408(C) has also
created a product by combining objects from the Internet
Repository 3404 and the Audio Library 3406. In this example, all
publisher products are delivered, on their respective optical discs,
in the form of VDE content container objects with embedded
objects, to a modern high school for installation on the high
school's computer network.

In this particular example, End-Users 3410 are teachers
who use their VDE node's secure subsystems to access the VDE
installation on their high school server that supports the
publishers' products (in an alternative example, the high school
may maintain only a server based VDE installation). These
teachers license the VDE products from one or more of the
publishers and extract desired objects from the VDE product
content containers and either download the extracted VDE content
in the form of VDE content containers for storage on their
classroom computers and/or as appropriate and/or efficient. The
teachers may store extracted content in the form of VDE content
containers on server mass storage (and/or if desired and available
to an end-user, and further according to acceptable pricing and/or
other terms and conditions and/or senior content control
information, they may store extracted information in "clear*
unencrypted form on their nodes' and/or server storage means).

750

(0064091.01)

This allows the teachers to play, and/or otherwise use, the selected
portions of said publishers 9 products, and as shown in two
instances in this example, add further teacher and/or student
created content to said objects. End-user 3410(2), for example, has
selected a video piece 1 received from Publisher A, who received
said object from the Video Library. End-user 3410(3) has also
received a video piece 3 from the same Publisher 3408(A) wherein
said piece was also available to her from Publisher 3408(B), but
perhaps under not as favorable terms and conditions (such as a
support consultation telephone line). In addition, end-user 3410(3)
has received an audio historical narration from Publisher 3408(B)
which corresponds to the content of historical reference piece 7.
End-user 3410(3) has also received a corresponding historical
reference piece 7 (a book) from publisher 3408(2) who received said
book from the Internet Repository 3404. In this instance, perhaps
publisher 3408(2) charged less for said book because end-user
3410(3) has also licensed historical reference piece 7 from him,
rather than publisher 3408(1), who also carried the same book.
End-user 3410(3), as a teacher, has selected the items she
considers most appropriate for her classes and, through use of
VDE, has been able to flexibly extract such items from resources
available to her (in this instance, extracting objects from various
optical products provided by publishers and available on the local
high school network server).

751

(0064091.01)

Example - Distribution of Content Control Information Within an
Organization

Figure 85 shows two VDE content containers, Container
300(A) and Container 300(B), that have been distributed to a VDE
Client Administrator 3450 in a large organization. As shown in the
figure, Container 300(A) and Container 300(B), as they arrive at
the corporation, carry certain control information specifying
available usage rights for the organization. As can be further seen
in Figure 85, the client administrator 3450 has distributed certain
subsets of these rights to certain department administrators 3452
of her organization, such as Sales and Marketing Administrator
3452(1), Planning Administrator 3452(2), and Research and
Development Administrator 34520c). In each instance, the Client
Administrator 3450 has decided which usage options and how
much budget should be made available to each department.

Figure 85 is a simplified example and, for example, the
Client Administrator 3450 could have added further VDE controls
created by herself and/or modified and/or deleted in place controls
(if allowed by senior content control information) and/or (if allowed
by control information) she could have further divided the
available monetary budget (or other budgets) among specific usage
activities. In this example, departmental administrators have the
same rights to determine the rights of departmental end-users as
the client administrator has in regard to departments. In
addition, in this example (but not shown in Figure 85) the client
administrator 3450 and/or content providers) may also determine
certain control information which must directly control (including
providing rights related to) end-user content usage and/or the

(0064091.01)

consequences of said usage for all or certain classes of end-users.
In the example shown in Figure 85, there are only three levels of
VDE participants within the organization:

a Client Administrator 3450,

department administrators 3452, and

end-users 3454.
In other examples, VDE will support many levels of VDE
administration (including overlapping groups) within an
organization (e.g., division, department, project, network, group,
end-users, etc). In addition, administrators in a VDE model may
also themselves be VDE content users.

Within an organization, VDE installations may be at each
end-user 3454 node, only on servers or other multiple user
computers or other electronic appliances, or there may be a mixed
environment. Determination as to the mix of VDE server and/or
node usage may be based on organization and/or content provider
security, performance, cost overhead, or other considerations.

In this example, communications between VDE participants
in Figure 85 employs VDE secure communication techniques
between VDE secure subsystems supporting PPEs and other VDE
secure system components at each VDE installation within the
organization.

753

(0064091.01)

Example - Another Content Distribution Example

Creators of VDE protected content may interact with other
VDE participants in many different ways. A VDE creator 102
may, for example, distribute content and/or content control
information directly to users, distribute content and/or content
control information to commercial content repositories, distribute
content and/or content control information to corporate content
repositories, and/or distribute content and/or content control
information to other VDE participants. If a creator 102 does not
interact directly with all users of her content, she may transmit
distribution permissions to other VDE participants that permit
such participants to further distribute content and/or content
control information. She may also allow further distribution of
VDE content and/or content control information by, for example,
not restricting redistribution of control information, or allowing a
VDE participant to act as a "conduit" for one or more permissions
records that can be passed along to another party, wherein said
permissions record provides for including the identification of the
first receiving party and/or the second receiving party.

Figure 86 shows one possible arrangement of VDE
participants. In this example, creator 102 may employ one or
more application software programs and one or more VDE secure
subsystems to place unencrypted content into VDE protected form
(i.e., into one or more VDE content containers). In addition,
creator 102 may produce one or more distribution permissions
3502 and/or usage permissions 3500 as an aspect of control
information associated with such VDE protected content. Such

754

(0064091.01)

distribution and/or usage permissions 3500, 3502 may be the same
(e.g., all distribution permissions may have substantively all the
same characteristics), or they may differ based on the category
and/or class of participant for whom they are produced, the
circumstances under which they are requested and/or transmitted,
changing content control models of either creator 102 or a
recipient, etc.

In this example, creator 102 transmits (e.g., over a network,
via broadcast, and/or through transfer of physical media) VDE
protected content to user 112a, user 112b, and/or user 112c. In
addition, creator 102 transmits, using VDE secure communications
techniques, usage permissions to such users. User 112a, user
112b, and user 112c may use such VDE protected content within
the restrictions of control information specified by usage
permissions received from creator 102. In this case, creator 102
may, for example, manage all aspects of such users activities
related to VDE protected content transmitted to them by creator
102. Alternatively, creator 102 may, for example, include
references to control information that must be available to users
that is not provided by creator 102 (e.g., component assemblies
managed by another party).

Commercial content repository 200g, in this example, may
receive VDE protected (or otherwise securely delivered) content
and distribution, permissions and/or other content usage control
information from creator 102. Commercial content repository 200g
may store content securely such that users may obtain such, when
any required conditions are met, content from the repository 200g.
The distribution permissions 3502 may, for example, permit

755

(0064665.01)

commercial content repository 200g to create redistribution
permissions and/or usage permissions 3500, 3502 using a VDE
protected subsystem within certain restrictions described in
content control information received from creator 102 (e.g., not to
exceed a certain number of copies, requiring certain payments by
commercial content repository 200g to creator 102, requiring
recipients of such permissions to meet certain reporting
requirements related to content usage information, etc.). Such
content control information may be stored at the repository
installation and be applied to unencrypted content as it is
transmitted from said repository in response to a user request,
wherein said content is placed into a VDE container as a step in a
secure process of communicating such content to a user.
Redistribution permissions may, for example, permit a recipient of
such permissions to create a certain number of usage permissions
within certain restrictions (e.g., only to members of the same
household, business other organization, etc.). Repository 200g
may, for example, be required by control information received from
creator 102 to gather and report content usage information from
all VDE participants to whom the repository has distributed
permissions.

In this example, power user 112d may receive VDE
protected content and redistribution permissions from commercial
content repository 200g using the desktop computer 3504. Power
user 112d may, for example, then use application software in
conjunction with a VDE secure subsystem of such desktop
computer 3504 in order to produce usage permissions for the
desktop computer 3504, laptop computer 3506 and/or settop
appliance 3508 (assuming redistribution permissions received from

fgg (0064665.01)

commercial content repository 200g permit such activities). If
permitted by senior control information (for example, from creator
102 as may be modified by the repository 200g), power user 112d
may add her own restrictions to such usage permissions (e.g.,
restricting certain members of power user 112d's household using
the settop appliance to certain times of day, amounts of usage, etc.
based on their user identification information). Power user 112d
may then transmit such VDE protected content and usage
permissions to the laptop computer 3506 and the settop appliance
3508 using VDE secure communications techniques. In this case,
power user 112d has redistributed permissions from the desktop
computer 3504 to the settop appliance 3508 and the laptop
computer 3506, and periodically the settop appliance and the
laptop computer may be required to report content usage
information to the desktop computer, which in turn may
aggregate, and/or otherwise process, and report user usage
information to the repository 200g.

User 112e and/or user 112f may receive usage permissions
and VDE protected content from commercial content repository
200g. These users may be able to use such content in ways
authorized by such usage information. In contrast to power user
112d, these users may not have requested and/or received
redistribution permissions from the repository 200g. In this case,
these users may still be able to transfer some or all usage rights to
another electronic appliance 600, and/or they may be permitted to
move some of their rights to another electronic appliance, if such
transferring and/or moving is permitted by the usage permissions
received from the repository 200g. In this case, such other

(0064665.01)

appliances may be able to report usage information directly to the
repository 200g.

In this example, corporate content repository 702 within
corporation 700 may receive VDE protected content and
distribution permissions from creator 102. The distribution
permissions received by corporate repository 702 may, for example,
include restrictions that limit repository 702 to distribution
activities within corporation 700.

The repository 702 may, for example, employ an automated
system operating in conjunction with a VDE secure subsystem to
receive and/or transmit VDE protected content, and/or
redistribution and/or usage permissions. In this case, an
automated system may, for example, rely on criteria defined by
corporate policies, departmental policies, and/or user preferences
to determine the character of permissions and/or content delivered
to various parties (corporation groups and/or individuals) within
corporation 700. Such a system may, for example, automatically
produce redistribution permissions for a departmental content
repository 704 in response to corporation 700 receiving distribution
permissions from creator 102, and/or produce usage permissions
for user 112j and/or user 112k.

The departmental repository 704 may automatically produce
usage permissions for user 112g, user 112h, and/or user 112i.
Such users may access content from the corporate content
repository 702, yet receive usage permissions from departmental
repository 704. In this case, user 112g, user 112h, and/or user
112i may receive usage permissions from departmental repository

758

(0064666.01)

704 that incorporate departmental restrictions in addition to
restrictions imposed by senior control information (in this example,
from creator 102, as may be modified by corporate repository 702,
as may be further modified by departmental repository 704, that
reflect a VDE extended agreement incorporating commercial
requirements of creator 102 and corporation 700 in addition to
corporate and/or departmental policies and agreements with
corporate personnel of corporation 700).

Example— '"Virtual Silicon Container"

As discussed above, VDE in one example provides a "virtual
silicon container" ("virtual black box") in that several different
instances of SPU 500 may securely communicate together to
provide an overall secure hardware environment that "virtually"
exists at multiple locations and multiple electronic appliances 600.
Figure 87 shows one model 3600 of a virtual silicon container.
This virtual container model 3600 includes a content creator 102, a
content distributor 106, one or more content redistributors 106a,
one or more client administrators 700, one or more client users
3602, and one or more clearinghouses 116. Each of these various
VDE participants has an electronic appliance 600 including a
protected processing environment 655 that may comprise, at least
in part, a silicon-based semiconductor hardware element secure
processing unit 500. The various SPUs 500 each encapsulate a
part of the virtual distribution environment, and thus, together
form the virtual silicon container 3600.

Example - Testing/Examinations

759

(0064664.01)

A scheduled SAT examination for high school seniors is
prepared by the Educational Testing Service. The examination is
placed in a VDE container for scheduled release on November 15,
1994 at 1:00 PM Eastern Standard time. The SAT prepar. one
copy of the container for each school or other location which will
conduct the examination. The school or other location ("test site")
will be provided with a distributed examination container securely
containing the VDE identification for the "administration"
electronic appliance and/or test administrator at the test site (such
as, a testing organization) and a budget enabling, for example, the
creation of 200 test VDE content containers. Each container
created at the test site may have a permissions record containing
secure identification information for each electronic appliance 600,
on the test site's network, that will be used by a test taker, as well
as, for example, an identification for the student who will take the
test. The student identification could, for example, be in the form
of a secure PIN password which is entered by the student prior to
taking the test (a test monitor or administrator might verify the
student identification by entering in a PIN password). Of course,
identification might take the firm of automated voice recognition,
handwriting recognition (signature recognition), fingerprint
information, eye recognition, or similar one or more recognition
forms which may be used either to confirm the identity of the test
taker (and/or test monitor/administrator) and/or may be stored
with the test results in a VDE container or the like or in a location
pointed to by certain container information. This identification
may be stored in encrypted or unencrypted form. If stored in
encrypted or otherwise protected form, certain summary
information, such as error correction information, may be stored

(0064665 01)

with the identification information to authenticate the associated
test as corresponding to the identification.

As the student takes the test using the computer terminal,
the answers selected may be immediately securely stored (but may
be changed by the student during the test session). Upon the
completion of the test, the student's answers, along with a
reference to the test, are securely stored in a VDE reporting object
which is passed along to the network to the test administrator and
the administration electronic appliance 600. All test objects for all
students could then be placed in a VDE object 300 for
communication to the Educational Testing Service, along with
whatever other relevant information (which may also be secured
by VDE 100), including summary information giving average and
mean scores, and other information that might be desirable to
summarize and/or act as an authentication of the test objects sent.
For example, certain information might be sent separately from
each student summary object containing information which helps
validate the object as an "authentic" test object.

Applying VDE to testing scenarios would largely eliminate
cheating resulting from access to tests prior to testing (normally
the tests are stolen from a teacher or test administrator). At ETS,
individuals who have access to tests could be limited to only a
portion of the test to eliminate the risk of the theft of a "whole"
test. Employing VDE would also ensure against processing errors
or other manipulation of test answers, since absolutely authentic
test results can be archived for a reasonable period of time.

761

(0064665.01)

Overall, employing VDE 100 for electronic testing will
enable the benefits of electronic testing to be provided without the
substantial risks associated with electronic storing,
communicating, and processing of test materials and testing
results. Electronic testing will provide enormous efficiency
improvements, significantly lowering the cost of conducting and
processing tests by eliminating printing, shipping, handling, and
human processing of tests. At the same time, electronic testing
will allow users to receive a copy (encrypted or unencrypted) of
their test results when they leave the test sessions. This will help
protect the tested individual against lost of, or improperly
processed, test results. Electronic testing employing VDE 100 may
also ensure that timing related variables of testing (for example
precise starting, duration, and stopping times) can be reliably
managed. And, of course, proper use of VDE 100 for the testing
process can prevent improper access to test contents prior to
testing and ensure that test taking is properly audited and
authenticated, that is which person took which test, at which time,
on which electronic appliance, at which location. Retesting due to
lost, stolen, improperly timed, or other variables can be avoided or
eliminated.

VDE assisted testing may, of course, be employed for many
different applications including secure identification of individuals
for security/authentication purposes, for employment (e.g. applying
for jobs) applications, and for a full range of evaluation testing.
For example, an airline pilot, or a truck, train, or bus driver might
take a test immediately prior to departure or during travel, with
the test evaluating alertness to test for fatigue, drug use, etc. A
certain test may have a different order and/or combination of test

(0064665.01)

activities each time, or each group of times, the test is taken. The
test or a master test might be stored in a VDE container (the
order of, and which, test questions might be determined by a
process executed securely within an PPE 650). The test responses
may be encrypted as they occur and either locally stored for
aggregated (or other test result) transmission or dynamically
transmitted (for example, to a central test administration
computer). If the test taker "flunks" the test, perhaps he or she is
then prevented from operating the vehicle, either by a local PPE
650 issuing control instructions to that effect on some portion of
the vehicle's electronic control system or a local PPE failing to
decrypt or otherwise provide certain key information required for
vehicle operation.

Example - Appliance Rental

Through use of the present invention, electronic appliances
can be "leased" or otherwise provided to customers who, rather
than purchasing a given appliance for unlimited usage, may
acquire the appliance (such as a VCR, television, microwave oven,
etc!) and be charged according to one or more aspects of use. For
example, the charge for a microwave might be for each time it is
used to prepare an item and/or for the duration of time used. A
telephone jack could be attached, either consistently or
periodically, to an inexpensive modem operatively attached or
within the microwave (the modem might alternatively be located
at a location which services a plurality of items and/or functions -
such as burglar alarm, light and/or heat control). Alternatively,
such appliances may make use of a network formed by the power
cables in a building to transmit and receive signals.

At a periodic interval, usage information (in summary form
and/or detailed) could be automatically sent to a remote
information utility that collects information on appliance usage
(the utility might service a certain brand, a certain type of
appliance, and/or a collection of brands and/or types). The usage
information would be sent in VDE form (e.g. as a VDE object 300).
The information utility might then distribute information to
financial clearinghouse(s) if it did not itself perform the billing
function, or the information "belonging** to each appliance
manufacturer and/or lessor (retailer) might be sent to them or to
their agents. In this way a new industry would be enabled of
leased usage of appliances where the leases might be analogous to
car leasing.

With VDE installed, appliances could also be managed by
secure identification (PIN, voice or signature recognition, etc.).
This might be required each time a unit is used, or on some
periodic basis. Failure to use the secure identification or use it on
a timely basis could disable an appliance if a PPE 650 issued one
or more instructions (or failed to decrypt or otherwise provide
certain information critical to appliance operation) that prevented
use of a portion or all of the appliance's functions. This feature
would greatly reduce the desirability of stealing an electronic
appliance. A further, allied use of VDE is the "registration" of a
VDE secure subsystem in a given appliance with a VDE secure
subsystem at some control location in a home or business. This
control location might also be responsible for VDE remote
communications and/or centralized administration (including, for
example, restricting your children from viewing R rated movies
either on television or videocassettes through the recognition of

764

(0064665.01)

data indicating that a given movie, song, channel, game, etc. was
R rated and allowing a parent to restrict viewing or listening).
Such a control location may, for example, also gather information
on consumption of water, gas, electricity, telephone usage, etc.
(either through use of PPEs 650 integrated in control means for
measuring and/or controlling such consumption, or through one or
more signals generated by non-VDE systems and delivered to a
VDE secure subsystem, for example, for processing, usage control
(e.g. usage limiting), and/or billing), transmit such information to
one or more utilities, pay for such consumption using VDE secured
electronic currency and/or credit, etc.

In addition, one or more budgets for usage could be managed
by VDE which would prevent improper, excessive use of a certain,
leased appliance, that might, for example lead to failure of the
appliance, such as making far more copies using a photocopier
than specified by the duty cycle. Such improper use could result
in a message, for example on a display panel or television screen,
or in the form of a communication from a central clearinghouse,
that the user should upgrade to a more robust model.

While the invention has been described in connection with
what is presently considered to be the most practical and preferred
embodiment, it is to be understood that the invention is not to be
limited to the disclosed embodiment, but on the contrary, is
intended to cover various modifications and equivalent
arrangements included within the spirit and scope of the appended
claims.

765

(0064666.01)

WE CLAIM:

1 1. A secure component-based operating process including:

2 (a) retrieving at least one component;

3 (b) retrieving a record that specifies a component assembly;

4 (c) checking said component and/or said record for validity;

5 (d) using said component to form said component assembly

6 in accordance with said record; and

7 (e) performing a process based at least in part on said

8 component assembly.

1 2. A process as in claim 1 wherein said step (c) comprises

2 executing said component assembly.

1 3. A process as in claim 1 wherein said component

2 comprises executable code.

1 4. A process as in claim 1 wherein said component

2 comprises a load module.

1 5. A process as in claim 1 wherein:

2 said record comprises:

3 (i) directions for assembling said component

4 assembly; and

5 (ii) information that at least in part specifies a

6 control; and

7 said process farther comprises controlling said step (d)

8 and/or said step (e) based at least in part on said control.

1 6. A process as in claim 1 wherein said component has a

2 security wrapper, and said controlling step comprises selectively

-766-